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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CHARLES DAVID ROBERTS

Advisor at LINCOLN INVESTMENT

Fort Washington, PA | Pineville, NC | ALBEMARLE, NC

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Search this name across graphsid dfx:ria:6c901537-4b43-69b2-8ffa-06d890db3f33

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 30, 2006 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: LINCOLN INVESTMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 23, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 23, 2004
First registration: Jun 30, 2006
Dual registered: yes, broker-dealer
Other names: CHARLES DAVID ROBERTS|CHARLES DAVID ROBERTS
IAPD individual key: 1879677

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
LINCOLN INVESTMENT	Independent wealth	Feb 20, 2026	n/a	yes	ALBEMARLE, NC\|Pineville, NC\|Fort Washington, PA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Feb 27, 2026	no	CHARLOTTE, NC\|HIGH POINT, NC\|PINEVILLE, NC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 16, 2024	Nov 14, 2024	no	High Point, NC	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Feb 22, 2012	Sep 24, 2024	no	MATTHEWS, NC\|Charlotte, NC\|PINEVILLE, NC	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 14, 2009	Dec 31, 2011	no	MATHEWS, NC\|RALEIGH, NC\|MATTHEWS, NC	Previous registration
TCA FINANCIAL GROUP, LLC	n/a	Jun 30, 2006	Jan 2, 2009	no	CHARLOTTE, NC\|CHARLOTTE, NC	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
LPL ENTERPRISE, LLC	LINCOLN INVESTMENT	Feb 27, 2026	Feb 20, 2026	-7	Firm change	Ibd to RIA
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
PRINCIPAL SECURITIES, INC.	PRUCO SECURITIES, LLC	Sep 24, 2024	Sep 16, 2024	-8	Firm change	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Dec 31, 2011	Feb 22, 2012	53	Firm change	Other
TCA FINANCIAL GROUP, LLC	WOODBURY FINANCIAL SERVICES, INC.	Jan 2, 2009	Jan 14, 2009	12	Firm change	Other

Relationships

Registered with (6)

→ LINCOLN INVESTMENTRegistered adviserregistration: current employment
Feb 20, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Feb 27, 2026factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 16, 2024 to Nov 14, 2024factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Feb 22, 2012 to Sep 24, 2024factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 14, 2009 to Dec 31, 2011factForm ADV
→ TCA FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jun 30, 2006 to Jan 2, 2009factForm ADV

Dated events

Occurred
Feb 27, 2026
Advisor changed firm
Charles David Roberts left Lpl Enterprise, Llc for Lincoln Investment (registered 2026-02-20)
Form ADVobserved 5 days ago
Occurred
Sep 24, 2024
Advisor changed firm
Charles David Roberts left Principal Securities, Inc. for Pruco Securities, Llc (registered 2024-09-16)
Form ADVobserved 5 days ago