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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

Charles Michael Abbott

Advisor at ALLWORTH FINANCIAL, L.P.

FOLSOM, CA | ADDISON, TX

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Search this name across graphsid dfx:ria:3a005733-c586-4ab9-9739-8fbbf6b2d308

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 6, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLWORTH FINANCIAL, L.P.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 14, 2016
First registration: Jan 6, 2017
Dual registered: yes, broker-dealer
Other names: CHARLES MICHAEL ABBOTT|CHARLES ABBOTT
IAPD individual key: 6678578

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Dec 11, 2024	n/a	yes	ADDISON, TX\|FOLSOM, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 13, 2019	Dec 8, 2024	no	Plano, TX\|New York, NY\|New York, NY\|Allen, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 29, 2017	Aug 17, 2018	no	IRVING, TX\|FORT WORTH, TX\|FORT WORTH, TX\|IRVING, TX	Previous registration
ROSENTHAL ADVISORY SERVICES, L.P.	Former SEC adviser	Jul 11, 2017	May 17, 2019	no	FORT WORTH, TX	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jan 6, 2017	Nov 29, 2017	no	FORTH WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	ALLWORTH FINANCIAL, L.P.	Dec 8, 2024	Dec 11, 2024	3	Firm change	Wirehouse to ibd
ROSENTHAL ADVISORY SERVICES, L.P.	LPL FINANCIAL LLC	May 17, 2019	Nov 29, 2017	-534	Firm change after gap	RIA to RIA
LPL FINANCIAL LLC	J.P. MORGAN SECURITIES LLC	Aug 17, 2018	Sep 13, 2019	392	Firm change	RIA to wirehouse
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	ROSENTHAL ADVISORY SERVICES, L.P.	Nov 29, 2017	Jul 11, 2017	-141	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
29604:114533:TX:2017-11-29	Nov 29, 2017	Jul 11, 2017	FORTH WORTH, TX	Firm change after gap

Relationships

Registered with (5)

→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: current employment
Dec 11, 2024 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 13, 2019 to Dec 8, 2024factForm ADV
→ ROSENTHAL ADVISORY SERVICES, L.P.Registered adviserregistration: previous registration
Jul 11, 2017 to May 17, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 29, 2017 to Aug 17, 2018factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jan 6, 2017 to Nov 29, 2017factForm ADV

Dated events

Occurred
Dec 8, 2024
Advisor changed firm
Charles Michael Abbott left J.P. Morgan Securities Llc for Allworth Financial, L.P. (registered 2024-12-11)
Form ADVobserved 5 days ago