Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
3845 advisors
Number of Clients
323,031 clients
Average Client Portfolio
$317K average
Assets Under Management
$102.4B

Fee Structure

This firm offers financial planning, financial wellness, and investment management services. Fees vary depending on the service and platform used. Contact the firm for specific fee information, as fees can vary based on the Financial Professional and client location. The firm does not specify AUM fee tiers in this brochure.

Areas of Practice
Financial Planning & CoachingRetirement PlanningEstate PlanningEducation PlanningDivorce PlanningSpecial Needs PlanningInvestment Management
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Advisor Information

Office location

901 N Broad Street, Suite 400, Rome, GA, 30161

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Charles operates under the DBA Foothills Financial, offering long-term care insurance and traditional life insurance products since 2016. He dedicates a few hours per week to this activity, all during trading hours.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2025 - Present · 2 mos
Cambridge Investment Research, INC.
November 2025 - Present · 2 mos
Cambridge Investment Research, INC.Broker
November 2025 - Present · 2 mos
Dempsey Lord Smith, LLC
January 2019 - Present · 7 yrs
Previous Registrations
Dempsey Lord Smith, LLC Broker
January 2019 - November 2025 · 6 yrs 10 mos
Lincoln Financial Advisors Corporation
January 2017 - March 2019 · 2 yrs 2 mos
Lincoln Financial Advisors CorporationBroker
December 2016 - March 2019 · 2 yrs 3 mos
Cetera Investment Advisers LLC
January 2014 - December 2016 · 2 yrs 11 mos
Cetera Investment Services LLCBroker
January 2014 - December 2016 · 2 yrs 11 mos
Cetera Investment Services LLC
January 2014 - January 2014 · 0 mos
Fsc Securities Corporation
December 2011 - January 2014 · 2 yrs 1 mo
Fsc Securities CorporationBroker
December 2011 - January 2014 · 2 yrs 1 mo
VALIC Financial Advisors, INC.
August 2010 - December 2011 · 1 yr 4 mos
VALIC Financial Advisors, INC. Broker
July 2010 - December 2011 · 1 yr 5 mos
State Registrations8 states
CTGAINNCNMSCTXWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.