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Charles Wallace Seigler

Prospera Financial Services, Inc.

Dallas, TX

Belmont, NC

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Current Employers
Prospera Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
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
CodeExamDate
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
Other Names
  • Charles W Seigler

View on SEC IAPD

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