Christopher Donald Charles
Professional Summary
Christopher Donald Charles is a registered financial advisor currently at WULFF, HANSEN & CO. located in San Rafael, California. Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 4 firms and has passed the Series 79TO, Series 52TO, Series 57TO, Series 99TO, SIE, Series 50, Series 55, Series 7, Series 14, Series 54, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
Contact Information
Main Address
100 Smith Ranch Road, Suite 320 Suite 320, San Rafael, CA 94903Mailing Address
100 Smith Ranch Road, Suite 320, San Rafael, CA 94903Phone Number
(415) 421-8900Established
California since 12/28/1931Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
143AUM (Assets Under Management)
$144,815,568Disclosures
Regulatory Event
4Bond
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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.
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Primary Firm SEC Registration
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
State Registrations and Notice Filings
(3/24/1984)
(7/8/1997)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jan 2016About the Series 50 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 54 — Municipal Advisor Principal Qualification Examination
Passed May 2019About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Christopher Donald Charles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Donald Charles's CRS (Customer Relationship Summary).
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