Charles H. Johnston

WESCOTT FINANCIAL ADVISORY GROUP LLC

Philadelphia, PA 19103-4196

Some features on this profile are disabled

CRD#: 6872243

Professional summary

Charles Howard Johnston, who also goes by Charles Johnston, Chad Johnston, Charles H Johnston, Charles Howard Johnston IV, is a registered financial advisor currently at WESCOTT FINANCIAL ADVISORY GROUP LLC located in Philadelphia, Pennsylvania.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Charles has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Johnston | Chad Johnston | Charles H Johnston | Charles Howard Johnston Iv

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) 12/2021 Rental Property; Non-Investment Related; Ardmore, PA ; Landlord ; Approx 2 hours a month ; 0 hours during trading 2) 1/2018 Independent Licensed Insurance Agent; Investment Related Ardmore, PA; Life/Accident/Health 3) 01/2022 Ardmore Business Association ; Non-Investment Related Business ; Ardmore, PA ; Board Member; Approx 3 hours a month; 0 hours during trading ; hosting and planning community events as well as promote local businesses

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Howard Johnston'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 25, 2023 - Present

WESCOTT FINANCIAL ADVISORY GROUP LLC

Office #1: 30 South 17th Street, Philadelphia, PA 19103-4196

RIA

CRD#: 105989

Philadelphia, PA

Past

August 24, 2022 - August 3, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

June 10, 2022 - August 3, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

June 8, 2020 - March 10, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

BALA CYNWYD, PA

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".

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(8/25/2023)

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: 8/17/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/18/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/10/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 6/8/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 9/20/2019

Securities Industry Essentials Examination

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

30 South 17th Street, Philadelphia, PA 19103-4196

Mailing Address

Phone number

(215) 979-1619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - WESCOTT PRIMARY (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3,329
AUM (Assets Under Management)	$ 3,725,004,015

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles H. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Howard Johnston's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

WESCOTT FINANCIAL ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2022

Series 63

Date: 6/18/2020

Series 7TO

Date: 6/10/2022

Series 6TO

Date: 6/8/2020

SIE

Date: 9/20/2019

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESCOTT FINANCIAL ADVISORY GROUP LLC

TRUST BUT VERIFY

Similar Advisors