Charles Carty is a registered investment advisor at Carty Financial, INC., based in Thousand Oaks, CA, with 27 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management. Their firm serves 57 clients with $40M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Fees may be negotiated lower.
Fee Estimator
Location
Thousand Oaks, CA
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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 →Employment History
Current Registrations
Carty Financial, INC.
Previous Registrations
Brookstreet Capital Management
Wachovia Securities, LLC
UBS Painewebber INC.
State Registrations1 state
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.