Michael David Charles

Current Employers

Employment History

• 01/2015 → 10/2019
  Raymond James & Associates
  Austin, TX
• 10/2019 → 11/2022
  Cantella & Co., Inc.
  Malden, MA
• 07/2019 → 07/2026
  Live Oak Investment Partners
  Austin, TX
• 11/2022 → 07/2026
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 07/2026 → Present
  Dfpg Investments, Llc
  Sandy, UT
• 07/2026 → Present
  Diversify Advisory Services, Llc
  Sandy, UT

Previous Registrations

• 2015-01-05 → 2019-10-01
  Raymond James & Associates, Inc.
  Austin, TX
  Austin, TX
• 2011-09-06 → 2015-01-20
  Oppenheimer & Co. Inc.
  Austin, TX
• 2007-10-29 → 2011-09-19
  Hilltop Securities Inc.
  Austin, TX

Other Businesses

1) DBA - LIVE OAK INVESTMENT PARTNERS, LLC - 3103 BEE CAVE ROAD, SUITE 104, AUSTIN, TX 78746; INVESTMENT RELATED; SUPPORT STAFF FOR RIA BUSINESS; SENIOR INVESTMENT PORTFOLIO ANALYST; 100% OF TIME SPENT. 2) TEXAS INTERSCHOLASTIC SWIMMING AND DIVING OFFICIALS (TISDO) - 244 BERETTA CIRCLE, GEORGETOWN, TX 78628; NON-INVESTMENT RELATED; OFFICIATING HIGH SCHOOL SWIM MEETS; INDEPENDENT SWIM/DIVE OFFICIAL; LESS THAN 1% OF TIME SPENT. 3) GEORGETOWN HIGH SCHOOL SWIM BOOSTER CLUB - 117 VILLIAGE GIN, GEORGETOWN, TX 78633; NON-INVESTMENT RELATED; BOOSTER CLUB FOR HIGH SCHOOL SPORT TEAM; TREASURER; LESS THAN 1% OF TIME SPENT. 4) GEORGETOWN HOUSING ADVISORY BOARD - 450 WEST 8TH STREET, TX; NON-INVESTMENT RELATED; ENSURE CITY HAS AFFORDABLE HOUSING FOR RESIDENTS OF ALL INCOME LEVELS; VICE CHAIR; LESS THAN 1% OF TIME SPENT. 5) NOTARY - 3103 BEE CAVE ROAD, SUITE 104, TX - NON-INVESTMENT RELATED; NOTARY PUBLIC; NOTARIZE DOCUMENTS FOR CLIENTS; 10% OF TIME SPENT. 6) CITIY OF GEORGETOWN PLANNING AND ZONING COMMISSION - 510 W. 9TH ST, GEORGETOWN, TX 78626; NON-INVESTMENT RELATED; REVIEW OF VARIOUS TYPES OF DEVELOPMENT RELATED APPLICATIONS AND PROVIDE RECOMMENDATIONS TO CITY COUNCIL; SECRETARY; 10 HOURS PER MONTH; 1 HOUR PER MONTH DURING SECURTIES TRADING HOURS. 7) CITY OF GEORGETOWN ZONING BOARD OF ADJUSTMENT - GEORGETOWN, TX; NON-INVESTMENT RELATED; START DATE OCT. 1, 2024; SECRETARY; BOARD MAKES DECISIONS REGARDING REQUESTS FOR UDC STANDARDS AND CONSIDERS APPLICANT APPEALS; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 8) TEXAS INSURANCE LICENSE - 3103 BEE CAVE RD, SUITE 104, AUSTIN, TX 78746; START DATE JUNE 12, 2025; INVESTMENT RELATED; REVIEWING EXISTING POLICIES FOR CLIENTS; AGENT; 4 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 4 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-10-27
• S63 Uniform Securities Agent State Law Examination
  2000-08-14