Charles Wallace Seigler

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-07-28
NC	RA	APPROVED	2016-01-11

TX RA
APPROVED

Since 2026-07-28
NC RA
APPROVED

Since 2016-01-11

Branch Locations

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • UNITED STATES

52A Ervin Street, Belmont, NC 28012 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Prospera Financial Services	Dallas	TX	01/2016	Present

01/2016 → Present

Prospera Financial Services

Dallas, TX

Previous Registrations

2008-11-20 → 2016-01-12

Capital Guardian Wealth Management, Llc

Miami, FL
2006-03-20 → 2008-11-07

Mml Investors Services, Llc

Mount Pleasant, SC

Charlotte, NC

Easley, SC

Easley, SC

Other Businesses

Seigler Financial Planning; Investment Related - Yes; 52A Ervin St, Belmont, NC 28012; DBA; President; Advisors; 06/2020; 160 Hours Per Month; 140 During Trading Hours; Providing financial planning and investment-related services.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-03-01
S63	Uniform Securities Agent State Law Examination	2004-11-16

S65 Uniform Investment Adviser Law Examination

2006-03-01
S63 Uniform Securities Agent State Law Examination

2004-11-16

Designations

Certified Financial Planner

Other Names

Charles W Seigler

View on SEC IAPD