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Charles Hilliard

Wedbush Securities INC.
28 Years of Experience
Pasadena, CA
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Charles Hilliard is a registered investment advisor at Wedbush Securities INC., based in Pasadena, CA, with 28 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, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 10,048 clients with $5.7B in assets under management.

Wedbush Securities INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
222 advisors
Number of Clients
10,048 clients
Average Client Portfolio
$566K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.80%
$500K - $1.0M2.50%
$1.0M - $3.0M1.90%
$3.0M - $5.0M1.60%
$5M+1.60%

Fees for accounts over $5,000,000 are negotiable. Accounts are subject to minimum annual fees ranging from $250 to $1,000 depending on the program.

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

Location

225 S. Lake Ave Penthouse, Pasadena, CA, 91101

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History

Regulatory History (4)
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.
Financial
October 2018
Final
Customer Dispute
December 2016
Denied
Employment Separation After Allegations
September 2015
Customer Dispute
December 2002
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wedbush Securities INC.
May 2017 - Present · 9 yrs 5 mos
Wedbush Securities INC.
May 2017 - Present · 9 yrs 5 mos
Wedbush Securities INC.Broker
May 2017 - Present · 9 yrs 5 mos
Previous Registrations
Kestra Private Wealth Services, LLC
October 2015 - May 2017 · 1 yr 7 mos
Kestra Investment Services, LLCBroker
October 2015 - May 2017 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2012 - October 2015 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2012 - October 2015 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - April 2012 · 2 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - April 2012 · 2 yrs 6 mos
Banc of America Investment Services, INC.
January 2007 - October 2009 · 2 yrs 9 mos
Banc of America Investment Services, INC.Broker
January 2007 - October 2009 · 2 yrs 9 mos
Morgan Stanley Dw INC.Broker
January 2006 - January 2007 · 1 yr
Morgan Stanley
January 2006 - January 2007 · 1 yr
H&r Block Financial Advisors, INC.
June 2003 - January 2006 · 2 yrs 7 mos
Rsm Mcgladrey, INC.
March 2003 - June 2003 · 3 mos
H&r Block Financial Advisors, INC.Broker
February 2002 - January 2006 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1997 - February 2002 · 4 yrs 10 mos
State Registrations5 states
AZCACONCNV
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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