Charles Thomas Alvey
ONEASCENT FINANCIAL SERVICES LLC
Louisville, KY 40207
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CRD#: 6764486
Professional summary
Charles Thomas Alvey III, CFP®, who also goes by Charles Thomas Lee Alvey, Tommy Alvey, is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Louisville, Kentucky and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Charles Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Charles Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Thomas Lee Alvey | Tommy Alvey
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.
1. One Ascent Financial Services. Investment-related. At registered location. RIA. IAR. 05/2025. 80 hrs/month. 80 hrs during trading hrs. IAR. 2. Fixed Insurance. Investment-related. At registered location. Insurance. Agent. 05/2025. 5 hrs/month. 5 hrs during trading hrs. Provide insurance advice based on the needs of clients. 3. Hardt Financial Group. Investment-related. At registered location. RIA. Vice President/Partner. 01/2022. 10 hrs/month. 10 hrs during trading hrs. Partner duties including but not limited to Operations Management and Investment/Financial Planning.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Thomas Alvey III's 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®
CFP®
Start date: 2021
Experience
Current
May 1, 2025 - Present
ONEASCENT FINANCIAL SERVICES LLC
Office #1: 4350 Brownsboro Road Suite 110, Louisville, KY 40207RIA
CRD#: 284549
Louisville, KY
Current
June 17, 2025 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 4350 Brownsboro Rd Suite 110, Louisville, KY 40207BD
CRD#: 35747
ALBANY, NY
Past
September 18, 2017 - May 15, 2025
G. A. REPPLE & COMPANY
RIA
CRD#: 17486
LOUISVILLE, KY
Past
April 26, 2017 - May 15, 2025
G. A. REPPLE & COMPANY
BD
CRD#: 17486
LOUISVILLE, KY
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(6/17/2025)
RR
Indiana(6/17/2025)
IAR
Kentucky(5/5/2025)
RR
Kentucky(6/17/2025)
RR
South Dakota(6/17/2025)
IAR
Texas(5/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
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Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ONEASCENT FINANCIAL SERVICES LLC
CRD#: 284549Louisville, KY 40207TRUST BUT VERIFY
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