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Christopher D. Charles
WULFF, HANSEN & CO.
San Rafael, CA 94903
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CRD#: 709131
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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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
REGISTERED FINRA PRINCIPAL AND PRESIDENT OF WULFF HANSEN & CO. SERVE AS CEO AND CCO OF BROKER/DEALER, RIA AND MA FIRM. SUPERVISE AND ACT AS PORTFOLIO MANAGER IN RIA BUSINESS, SUPERVISE AND SUPPORT MUNICIPAL ADVISORY AND PUBLIC FINANCE BUSINESSES. 90-100% OF MY BUSINESS HOURS ARE SPENT ON THESE BUSINESSES. Registered Representative with McClurg Capital, a retail broker/dealer. Directly serve individual investors providing retail brokerage services through McClurg during approximately 0-5% of business hours.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 8, 1997 - Present
WULFF, HANSEN & CO.
Office #1: 100 Smith Ranch Road Suite 330, San Rafael, CA 94903RIA
BD
CRD#: 908
San Rafael, CA
Current
June 2, 1980 - Present
WULFF, HANSEN & CO.
Office #1: 100 Smith Ranch Road Suite 330, San Rafael, CA 94903RIA
BD
CRD#: 908
San Rafael, CA
Current
September 26, 2017 - Present
MCCLURG CAPITAL CORPORATION
Office #1: 100 Smith Ranch Road Suite 330, San Rafael, CA 94903RIA
BD
CRD#: 16798
San Rafael, CA
Past
September 21, 2009 - October 28, 2009
BACKSTROM MCCARLEY BERRY & CO., LLC
BD
CRD#: 124503
SAN FRANCISCO, CA
Past
November 14, 2007 - February 28, 2023
C. A. BOTZUM & CO.
BD
CRD#: 123
VILLA PARK, CA
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".
WULFF, HANSEN & CO.
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
RIA
Registered Investment Advisory firm - SEC (7/15/2022 Approved)California
Registered Investment Advisory firm - SEC (8/17/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (7/18/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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
California(3/24/1984)
IAR
California(7/8/1997)
Exams
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WULFF, HANSEN & CO.
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
RIA
Registered Investment Advisory firm - SEC (7/15/2022 Approved)California
Registered Investment Advisory firm - SEC (8/17/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (7/18/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903
Mailing Address
100 Smith Ranch Road, Suite 330, San Rafael, CA 94903
Phone number
(415) 421-8900
Established
California since 12/28/1931
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (2 States and Territories)
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 132,528,477 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WULFF, HANSEN & CO.
CRD#: 908San Rafael, CA 94903TRUST BUT VERIFY
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Contact information
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