CS
Charles A. Smith
PARALEL DISTRIBUTORS
Boston, MA 02111-2641
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CRD#: 7656841
CS
Professional summary
Charles Austin Smith, who also goes by Charles Smith, is a registered financial professional currently at PARALEL DISTRIBUTORS located in Boston, Massachusetts.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2023. Charles has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Smith
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles Austin Smith'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 15, 2025 - Present
PARALEL DISTRIBUTORS
Office #1: One Lincoln Street Suite 1700, Boston, MA 02111-2641BD
CRD#: 316115
Boston, MA
Past
September 18, 2023 - May 26, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOSTON, MA
Past
August 22, 2023 - May 26, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/15/2025)
RR
Alaska(7/15/2025)
RR
Arizona(7/15/2025)
RR
Arkansas(7/15/2025)
RR
California(7/15/2025)
RR
Colorado(7/15/2025)
RR
Connecticut(7/15/2025)
RR
Delaware(7/15/2025)
RR
District of Columbia(7/15/2025)
RR
Florida(7/15/2025)
RR
Georgia(7/15/2025)
RR
Hawaii(7/15/2025)
RR
Idaho(7/15/2025)
RR
Illinois(7/15/2025)
RR
Indiana(7/15/2025)
RR
Iowa(7/15/2025)
RR
Kansas(7/15/2025)
RR
Kentucky(7/15/2025)
RR
Louisiana(7/15/2025)
RR
Maine(7/15/2025)
RR
Maryland(7/15/2025)
RR
Massachusetts(7/15/2025)
RR
Michigan(7/15/2025)
RR
Minnesota(7/15/2025)
RR
Mississippi(7/15/2025)
RR
Missouri(7/15/2025)
RR
Montana(7/15/2025)
RR
Nebraska(7/15/2025)
RR
Nevada(7/15/2025)
RR
New Hampshire(7/15/2025)
RR
New Jersey(7/15/2025)
RR
New Mexico(7/15/2025)
RR
New York(7/15/2025)
RR
North Carolina(7/15/2025)
RR
North Dakota(7/15/2025)
RR
Ohio(7/16/2025)
RR
Oklahoma(7/15/2025)
RR
Oregon(7/15/2025)
RR
Pennsylvania(7/15/2025)
RR
Puerto Rico(7/15/2025)
RR
Rhode Island(7/15/2025)
RR
South Carolina(7/15/2025)
RR
South Dakota(7/15/2025)
RR
Tennessee(7/15/2025)
RR
Texas(7/15/2025)
RR
Utah(7/15/2025)
RR
Vermont(7/15/2025)
RR
Virgin Islands(7/15/2025)
RR
Virginia(7/15/2025)
RR
Washington(7/15/2025)
RR
West Virginia(7/15/2025)
RR
Wisconsin(7/15/2025)
RR
Wyoming(7/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/22/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PD
PARALEL DISTRIBUTORS
PARALEL DISTRIBUTORS | PARALEL DISTRIBUTORS LLC
CRD#: 316115 / SEC#: , 8-70771
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1700 Broadway Suite 1850, Denver, CO 80290
Mailing Address
1700 Broadway Suite 1850, Denver, CO 80290
Phone number
(303) 378-0364
Established
Delaware since 06/21/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Company Information
PARALEL DISTRIBUTORS
CRD#: 316115Boston, MA 02111-2641TRUST BUT VERIFY
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