Charles Smith
Charles Smith is a registered investment advisor at Osaic Wealth, INC., based in Lodi, CA, with 55 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
1111 W Tokay St. Ste B, Lodi, CA, 95240
Get directionsHistory
Regulatory History (5)
Customer Dispute
March 1995Customer Dispute
October 1993Customer Dispute
October 1993Customer Dispute
April 1992Customer Dispute
October 1988Other Business ActivitiesSells Insurance
Charles is involved in insurance sales, offering fixed annuities, term life insurance, whole life insurance, and long-term care insurance, dedicating minimal time to this activity. He also works with Osaic, Inc. in managed asset sales, spending about 10-20% of his time on this.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America, INC.Broker
Securities America Advisors, INC.
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
LPL Financial LLC
LPL Financial LLCBroker
Associated Securities CORP.
Associated Securities CORP.Broker
Fsc Securities Corporation
Strategic Wealth Advisors Group
Fsc Securities CorporationBroker
Sutro & CO. IncorporatedBroker
Prudential-Bache Securities INC.Broker
Dean Witter Reynolds INC.Broker
Paine, Webber, Jackson & Curtis INC.Broker
Paine, Webber, Jackson & Curtis IncorporatedBroker
Dupont Walston, IncorporatedBroker
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.