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CH

Charlotte W. Halmo

M1 FINANCE
Greenville, SC
Some features on this profile are disabled
CRD#: 7328849
CH

Professional summary

Charlotte Wilson Halmo, who also goes by Charlotte Wilson Ball, Charlotte Ball, is a registered financial advisor currently at M1 FINANCE located in Greenville, South Carolina and M1 FINANCE LLC located in Chicago, Illinois.

Charlotte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Charlotte has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charlotte Wilson Ball | Charlotte Ball

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)Name of Business: Stationery Design services Address: 110 Pinyon Pine Cir, apt 5102, Athens, GA, 30606, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/04/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Stationery Design services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charlotte Wilson Halmo'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

May 31, 2024 - Present

M1 FINANCE

RIA
CRD#: 249787
Greenville, SC
Current

April 18, 2023 - Present

M1 FINANCE LLC

Office #1: 200 N Lasalle Street, Suite 810, Chicago, IL 60601
BD
CRD#: 281242
CHICAGO, IL
Past

April 18, 2023 - December 31, 2023

M1 FINANCE

RIA
CRD#: 249787
Athens, GA
Past

February 21, 2022 - April 12, 2023

CARSON ADVISORY GROUP

RIA
CRD#: 117410
ATHENS, GA
Past

October 15, 2021 - March 23, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ATHENS, GA

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".
MF
M1 FINANCE
FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA
Registered Investment Advisory firm - (8/11/2015 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
(4/18/2023)
RR
Illinois
(4/18/2023)
IAR
Illinois
(5/31/2024)
RR
South Carolina
(1/17/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/17/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MF
M1 FINANCE
FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA
Registered Investment Advisory firm - (8/11/2015 Approved)
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Contact information

Main Address
200 North Lasalle Street Suite 810, Chicago, IL 60601
Mailing Address
Phone number
(312) 600-2883
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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.

Company Information

M1 FINANCE

CRD#: 249787Greenville, SC

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