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CFP
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CFP

Charles Roberts

Founders Financial Securities, LLC
24 Years of Experience
Salem, NH
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Roberts is a CFP-designated registered investment advisor at Founders Financial Securities, LLC, based in Salem, NH, with 24 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 Annuities, Business Owners, Corporate Executives, Education Planning, and 8 more. Their firm serves 9,870 clients with $4.1B in assets under management.

Founders Financial Securities, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
117 advisors
Number of Clients
9,870 clients
Average Client Portfolio
$419K average
Assets Under Management
$4.1B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1M+1.40%

Fees vary by program and are negotiable. Maximum rates reach up to 2.75% depending on the specific program selected. The schedule reflects Private Wealth Solutions tiers; other programs charge flat percentage rates up to 2.75%.

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

Location

53 Stiles Road, Unit A103, Salem, NH, 03079

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History

Regulatory History (1)
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.
Customer Dispute
September 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charles is an insurance agent for DreamBridge Financial, selling fixed financial products. This activity takes about 10-20% of his time.

Employment History
Current Registrations
Founders Financial Securities, LLC
November 2013 - Present · 12 yrs 11 mos
Founders Financial Securities LLCBroker
November 2013 - Present · 12 yrs 11 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
February 2011 - December 2013 · 2 yrs 10 mos
New England Investment & Retirement Group, INC.
February 2006 - November 2013 · 7 yrs 9 mos
Commonwealth Financial NetworkBroker
February 2004 - February 2011 · 7 yrs
Waddell & Reed, INC.
March 2003 - February 2004 · 11 mos
Commonwealth Financial Network
March 2003 - February 2011 · 7 yrs 11 mos
Waddell & Reed, INC.Broker
January 2003 - February 2004 · 1 yr 1 mo
Citistreet Advisors LLCBroker
September 2002 - January 2003 · 4 mos
State Registrations8 states
AZFLMAMENHPAVAVT
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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