Charles Rawl is a CFP, ChFC-designated registered investment advisor at Sunbelt Securities, based in Houston, TX, with 30 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 5,355 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sunbelt Securities offers investment management through its Rep Directed Wrap Fee Program. The annual fee is a percentage of your portfolio, and the exact rate is negotiable. The maximum fee is 2.50% per year, charged monthly. This fee covers account management, brokerage, and clearance. Clients also pay separate annual maintenance fees, custodial fees, and termination fees charged by the custodian (National Financial Services, Fidelity, or Charles Schwab).
Location
2700 Post Oak Blvd, Ste 1700, Houston, TX, 77056
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Charles operates under several DBAs for his investment business as a Registered Representative/Advisor under Sunbelt Securities, dedicating full-time hours. He also runs an insurance agency for fixed life insurance, annuities, group medical insurance, and life settlements, spending about 10-20% of his time, and provides estate planning services for a minimal time commitment.
Employment History
Current Registrations
Sunbelt Securities
Sunbelt Securities, INC.Broker
Previous Registrations
Usf Alternative Services, LLC
Usf Securities, L.P.Broker
Usf Advisors, LLC
Puritan Securities, INC.Broker
Stanford Group Company
Stanford Group CompanyBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Nylife Securities INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.