TrueAdvisor
TrueAdvisor
CR
CFP · ChFC
CR
CFP · ChFC

Charles Rawl

Sunbelt Securities
31 Years of Experience
Houston, TX
BrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Rawl is a CFP, ChFC-designated registered investment advisor at Sunbelt Securities, based in Houston, TX, with 31 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 Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 6,241 clients with $2.6B in assets under management.

Sunbelt Securities
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
63 advisors
Number of Clients
6,241 clients
Average Client Portfolio
$423K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum fee is 2.50% of assets under management, charged monthly. Fees are negotiable.

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

Location

2700 Post Oak Blvd, Ste 1700, Houston, TX, 77056

Get directions

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.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Charles operates under several DBAs for his investment business as a Registered Representative/Advisor under Sunbelt Securities, dedicating full-time hours. He also runs an insurance agency for fixed life insurance, annuities, group medical insurance, and life settlements, spending about 10-20% of his time, and provides estate planning services for a minimal time commitment.

Employment History
Current Registrations
Sunbelt Securities
March 2009 - Present · 17 yrs 7 mos
Sunbelt Securities, INC.Broker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Usf Alternative Services, LLC
January 2008 - February 2009 · 1 yr 1 mo
Usf Securities, L.P.Broker
January 2008 - February 2009 · 1 yr 1 mo
Usf Advisors, LLC
January 2008 - February 2009 · 1 yr 1 mo
Puritan Securities, INC.Broker
December 2007 - July 2008 · 7 mos
Stanford Group Company
May 2005 - January 2008 · 2 yrs 8 mos
Stanford Group CompanyBroker
May 2005 - January 2008 · 2 yrs 8 mos
UBS Financial Services INC.
April 2001 - May 2005 · 4 yrs 1 mo
UBS Financial Services INC.Broker
April 2001 - May 2005 · 4 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1997 - April 2001 · 3 yrs 5 mos
Nylife Securities INC.Broker
May 1995 - November 1997 · 2 yrs 6 mos
State Registrations10 states
FLLAMDMONMOHOKSCTXWI
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 Houston, TX →All financial advisors in Texas →