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RIA / WealthAdvisor33 years in industry

CHARLES MELVIN CARTY

Advisor at CARTY FINANCIAL, INC.

THOUSAND OAKS, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 22, 1998 to Sep 14, 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: CARTY FINANCIAL, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 6, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 6, 1993
First registration: Dec 22, 1998
Dual registered: no
Other names: CHUCK CARTY
IAPD individual key: 2365884

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
CARTY FINANCIAL, INC.	State registered	Jul 26, 2007	n/a	yes	THOUSAND OAKS, CA	Current employment
BROOKSTREET SECURITIES CORPORATION	n/a	Jun 18, 2004	Jul 12, 2007	no	CAMARILLO, CA\|CAMARILLO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 26, 2002	Jun 15, 2004	no	SANTA BARBARA, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 22, 1998	Dec 17, 2002	no	SANTA BARBARA, CA	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
BROOKSTREET SECURITIES CORPORATION	CARTY FINANCIAL, INC.	Jul 12, 2007	Jul 26, 2007	14	Firm change	Other
WELLS FARGO ADVISORS	BROOKSTREET SECURITIES CORPORATION	Jun 15, 2004	Jun 18, 2004	3	Firm change	Other
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Dec 17, 2002	Nov 26, 2002	-21	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ CARTY FINANCIAL, INC.Registered adviserregistration: current employment
Jul 26, 2007 to presentfactForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 18, 2004 to Jul 12, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 26, 2002 to Jun 15, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 22, 1998 to Dec 17, 2002factForm ADV

Dated events

No dated event names this entity yet.