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Charles Williams

LPL Financial LLC
42 Years of Experience
Richmond, VA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Williams is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Richmond, VA, with 42 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Richmond, VA

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Charles offers fixed insurance products including health, disability, long term care, and life insurance through Huguenot Financial Services Co. This non-variable insurance DBA takes about 10-20% of his time.

Employment History
Current Registrations
LPL Financial LLC
July 2018 - Present · 8 yrs 3 mos
LPL Financial LLCBroker
January 2006 - Present · 20 yrs 9 mos
Previous Registrations
The Main Street Group
October 2015 - March 2018 · 2 yrs 5 mos
LPL Financial LLC
October 2006 - November 2015 · 9 yrs 1 mo
Jefferson Pilot Securities CorporationBroker
January 2003 - January 2006 · 3 yrs
Vestax Securities CorporationBroker
May 2001 - December 2002 · 1 yr 7 mos
First Union Securities, INC.Broker
October 2000 - March 2001 · 5 mos
First Union Brokerage Services, INC.Broker
March 1999 - October 2000 · 1 yr 7 mos
Pruco Securities CorporationBroker
June 1983 - December 1998 · 15 yrs 6 mos
State Registrations7 states
DCGAMDNCNYPAVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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