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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)31 years in industry

Charles William Rawl

Advisor at SUNBELT SECURITIES

Houston, TX | HOUSTON, TX

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 12, 2001 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: SUNBELT SECURITIES
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: May 9, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 6
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S65|S63
First exam: May 9, 1995
First registration: Apr 12, 2001
Dual registered: yes, broker-dealer
Other names: CHARLIE RAWL
IAPD individual key: 2606069

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
SUNBELT SECURITIES	Bd affiliated wealth	Mar 10, 2009	n/a	yes	HOUSTON, TX\|HOUSTON, TX\|Houston, TX	Current employment
USF ALTERNATIVE SERVICES, LLC	n/a	Jan 8, 2008	Feb 20, 2009	no	HOUSTON, TX	Previous registration
USF ADVISORS, LLC	n/a	Jan 8, 2008	Feb 20, 2009	no	HOUSTON, TX	Previous registration
STANFORD GROUP COMPANY	n/a	May 13, 2005	Jan 15, 2008	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 12, 2001	May 27, 2005	no	HOUSTON, 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
USF ADVISORS, LLC	USF ALTERNATIVE SERVICES, LLC	Feb 20, 2009	Jan 8, 2008	-409	Firm change after gap	Other
USF ALTERNATIVE SERVICES, LLC	SUNBELT SECURITIES	Feb 20, 2009	Mar 10, 2009	18	Firm change	Other
STANFORD GROUP COMPANY	USF ADVISORS, LLC	Jan 15, 2008	Jan 8, 2008	-7	Firm change	Other
UBS FINANCIAL SERVICES INC.	STANFORD GROUP COMPANY	May 27, 2005	May 13, 2005	-14	Firm change	Other

Relationships

Registered with (5)

→ SUNBELT SECURITIESRegistered adviserregistration: current employment
Mar 10, 2009 to presentfactForm ADV
→ USF ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 8, 2008 to Feb 20, 2009factForm ADV
→ USF ALTERNATIVE SERVICES, LLCRegistered adviserregistration: previous registration
Jan 8, 2008 to Feb 20, 2009factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
May 13, 2005 to Jan 15, 2008factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 12, 2001 to May 27, 2005factForm ADV

Dated events

No dated event names this entity yet.