Charles Conkling is a registered investment advisor, based in Charlotte, NC, with 14 years of industry experience.
Location
401 S Graham Street, Charlotte, NC, 28202
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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 →Employment History
Current Registrations
Cetera Investment Services LLCBroker
March 2023 - Present · 3 yrs 2 mos
Cetera Investment Advisers LLC
March 2023 - Present · 3 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
December 2018 - April 2022 · 3 yrs 4 mos
Wells Fargo Clearing Services, LLC
December 2018 - April 2022 · 3 yrs 4 mos
PNC Investments
June 2015 - November 2018 · 3 yrs 5 mos
PNC InvestmentsBroker
March 2015 - November 2018 · 3 yrs 8 mos
Metlife Investors Distribution CompanyBroker
August 2013 - February 2015 · 1 yr 6 mos
Northwestern Mutual Investment Services, LLCBroker
November 2010 - August 2013 · 2 yrs 9 mos
State Registrations1 state
NC
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.