TrueAdvisor
TrueAdvisor
CE
CE

Charles Evans

Prospera Financial Services, INC.
52 Years of Experience
Plano, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Charles Evans is a registered investment advisor at Prospera Financial Services, INC., based in Plano, TX, with 52 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 Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Plano, TX

Get directions

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.
Regulatory
April 2016
Final
Employment Separation After Allegations
July 2014
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Prospera Financial Services, INC.
July 2014 - Present · 12 yrs 3 mos
Prospera Financial Services, INC.Broker
July 2014 - Present · 12 yrs 3 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
May 2014 - August 2014 · 3 mos
Wells Fargo Advisors, LLC
May 2014 - August 2014 · 3 mos
RBC Capital Markets, LLCBroker
August 2002 - June 2014 · 11 yrs 10 mos
RBC Capital Markets, LLC
August 2002 - June 2014 · 11 yrs 10 mos
Morgan Stanley
April 1994 - September 2002 · 8 yrs 5 mos
Morgan Stanley Dw INC.Broker
April 1994 - September 2002 · 8 yrs 5 mos
Painewebber IncorporatedBroker
August 1983 - June 1994 · 10 yrs 10 mos
Dean Witter Reynolds INC.Broker
February 1978 - September 1983 · 5 yrs 7 mos
Dean Witter & CO. IncorporatedBroker
December 1976 - February 1978 · 1 yr 2 mos
Underwood, Neuhaus & CO., IncorporatedBroker
February 1970 - March 1973 · 3 yrs 1 mo
State Registrations13 states
COFLGAHILAMIMSNCOHOKTXVAWA
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.
More Advisors
More financial advisors in Plano, TX →All financial advisors in Texas →