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Charles Gibbs

LPL Financial LLC
39 Years of Experience
Scottsdale, AZ
2 DisclosuresBroker
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Charles Gibbs is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

LPL Financial LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.

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Location

7033 E Greenway Parkway, Suite 130, Scottsdale, AZ, 85254

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2014
Denied
Customer Dispute
September 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles is involved with Platinum CRT, LLC for real estate rental, and GPL Asset Management, both investment-related. He also has CGWM LLC, a business entity for tax/investment purposes, which takes nearly full-time, with 6 hours during securities trading.

Employment History
Current Registrations
LPL Financial LLC
September 2021 - Present · 4 yrs 8 mos
LPL Financial LLCBroker
September 2021 - Present · 4 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
June 2016 - December 2019 · 3 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
January 2011 - September 2021 · 10 yrs 8 mos
Wells Fargo Investments, LLCBroker
December 2000 - January 2011 · 10 yrs 1 mo
Wells Fargo Brokerage Services, L.L.C.Broker
November 2000 - December 2000 · 1 mo
Wells Fargo Securities INC.Broker
October 2000 - May 2001 · 7 mos
Sunamerica Securities, INC.Broker
January 2000 - October 2000 · 9 mos
U.S. Bancorp Piper Jaffray INC.Broker
April 1997 - February 2000 · 2 yrs 10 mos
International Securities Group, INC.Broker
March 1995 - January 1997 · 1 yr 10 mos
First Affiliated SecuritiesBroker
October 1992 - January 1995 · 2 yrs 3 mos
Prudential Securities IncorporatedBroker
August 1992 - October 1992 · 2 mos
Linsco/private Ledger CORP.Broker
October 1990 - September 1992 · 1 yr 11 mos
Prudential-Bache Securities INC.Broker
July 1990 - August 1990 · 1 mo
Westcap Government Securities, INC.Broker
June 1989 - July 1990 · 1 yr 1 mo
Westcap Securities, INC.Broker
May 1989 - July 1990 · 1 yr 2 mos
Underwood, Neuhaus & CO., IncorporatedBroker
January 1989 - May 1989 · 4 mos
Schaefer Securities, INC.Broker
May 1987 - January 1989 · 1 yr 8 mos
Rauscher Pierce Refsnes, INC.Broker
August 1986 - March 1987 · 7 mos
State Registrations10 states
AKAZCACOKSMNNYTXUTWA
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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Charles Gibbs - Financial Advisor | TrueAdvisor