Charles Smoak is a CFP-designated registered investment advisor, based in Columbia, SC, with 40 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Columbia, SC
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Charles operates Smoak Financial Solutions, where he engages in insurance sales and provides financial planning and investment advice. Insurance sales take about a quarter of his time, while financial planning and investment advisory services occupy nearly full-time hours.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
The Ameriflex Group
Previous Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Securities America Advisors, INC.
Securities America, INC.Broker
Mutual of Omaha Investor Services, INC.
Mutual of Omaha Investor Services, INC.Broker
State Registrations3 states
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
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