Charles W. Flynn

SIERRA CAPITAL LLC

Miami, FL 33131

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CRD#: 6571768

Professional summary

Charles William Flynn, who also goes by Charles W Flynn, is a registered financial advisor currently at SIERRA CAPITAL LLC located in Miami, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Charles has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles W Flynn

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Flynn's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 22, 2022 - Present

SIERRA CAPITAL LLC

Office #1: 600 Brickell Avenue Ste. 2020, Miami, FL 33131

RIA

CRD#: 110129

Miami, FL

Past

January 25, 2016 - March 23, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

December 18, 2015 - March 23, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIERRA CAPITAL LLC

PANGEA ADVISORS | SIERRA CAPITAL PARTNERS, LLC | SIERRA CAPITAL LLC | PANGEA ASESORES

CRD#: 110129 / SEC#: 801-57691

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

New York

Registered Investment Advisory firm - (5/6/2008 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/22/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/22/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2015

General Securities Representative Examination

Current Firm

SIERRA CAPITAL LLC

PANGEA ADVISORS | SIERRA CAPITAL PARTNERS, LLC | SIERRA CAPITAL LLC | PANGEA ASESORES

CRD#: 110129 / SEC#: 801-57691

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

New York

Registered Investment Advisory firm - (5/6/2008 Cancelled)

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Contact information

Main Address

600 Brickell Avenue Ste. 2020, Miami, FL 33131

Mailing Address

Phone number

(212) 867-3533

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIERRA CAPITAL (9/19/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 1,501,093,928

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Charles W. Flynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Flynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SIERRA CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2016

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2015

Current Firm

SIERRA CAPITAL LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIERRA CAPITAL LLC

TRUST BUT VERIFY

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