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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Charles Baker Bachtell

Advisor at LPL FINANCIAL LLC

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:eeac1b0d-f9b0-d21f-80a4-d9818fc4e1e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 26, 2004 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: LPL FINANCIAL LLC
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 10, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Jan 10, 1991
First registration: Feb 26, 2004
Dual registered: yes, broker-dealer
Other names: Chip Bachtell
IAPD individual key: 2110641

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 5, 2025	n/a	yes	LOS ANGELES, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jan 2, 2015	Jun 5, 2025	no	Santa Rosa, CA\|Ventura, CA\|West Hollywood, CA\|Crystal Bay, NV\|Los Angeles, CA	Previous registration
GBS ADVISORS	Former SEC adviser	Feb 14, 2014	Dec 31, 2014	no	SHERMAN OAKS, CA\|SANTA ROSA, CA	Previous registration
GBS ADVISORS	Former SEC adviser	Dec 23, 2013	Dec 31, 2013	no	VAN NUYS, CA\|SANTA ROSA, CA	Previous registration
GBS ADVISORS	Former SEC adviser	Nov 24, 2008	Dec 13, 2013	no	BURBANK, CA\|VENTURA, CA	Previous registration
FIRST MONTAUK SECURITIES CORP.	n/a	Feb 26, 2004	Nov 26, 2008	no	VAN NUYS, CA\|VAN NUYS, 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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
GBS ADVISORS	WESTERN INTERNATIONAL SECURITIES	Dec 31, 2014	Jan 2, 2015	2	Firm change	Other
FIRST MONTAUK SECURITIES CORP.	GBS ADVISORS	Nov 26, 2008	Nov 24, 2008	-2	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jan 2, 2015 to Jun 5, 2025factForm ADV
→ GBS ADVISORSRegistered adviserregistration: previous registration
Feb 14, 2014 to Dec 31, 2014factForm ADV
→ FIRST MONTAUK SECURITIES CORP.Registered adviserregistration: previous registration
Feb 26, 2004 to Nov 26, 2008factForm ADV

Dated events

No dated event names this entity yet.