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Charles Smith

Osaic Institutions, Inc.

Fletcher, NC

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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-04-29
  • NC RA
    APPROVED
    Since 2024-04-29

Branch Locations

3551 Hendersonville Rd, Fletcher, NC 28732 • 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
Bb&T Securities Llc Ashville NC 08/2013 05/2017
Suntrust Investment Services, Inc Atlanta GA 06/2017 03/2019
Suntrust Advisory Services, Inc Atlanta GA 06/2017 03/2019
Suntrust Investments Asheville NC 06/2017 03/2019
Bb&T Securities Asheville NC 08/2013 05/2017
Fifth Third Bank Black Mountain NC 03/2019 04/2024
Fifth Third Securities Black Mountain NC 03/2019 04/2024
Osaic Institutions, Inc. Meriden CT 04/2024 Present
First Bancorp Fletcher NC 04/2024 Present
  • 08/2013 → 05/2017
    Bb&T Securities Llc
    Ashville, NC
  • 06/2017 → 03/2019
    Suntrust Investment Services, Inc
    Atlanta, GA
  • 06/2017 → 03/2019
    Suntrust Advisory Services, Inc
    Atlanta, GA
  • 06/2017 → 03/2019
    Suntrust Investments
    Asheville, NC
  • 08/2013 → 05/2017
    Bb&T Securities
    Asheville, NC
  • 03/2019 → 04/2024
    Fifth Third Bank
    Black Mountain, NC
  • 03/2019 → 04/2024
    Fifth Third Securities
    Black Mountain, NC
  • 04/2024 → Present
    Osaic Institutions, Inc.
    Meriden, CT
  • 04/2024 → Present
    First Bancorp
    Fletcher, NC
Previous Registrations
  • 2019-05-22 → 2024-04-30
    Fifth Third Securities, Inc.
    Black Mountain, NC
    West Jefferson, NC
    Banner Elk, NC
    Sparta, NC
    Marion, NC
    Brevard, NC
    Greenville, SC
    Greenville, SC
    Greenville, SC
    Simpsonville, SC
    Greenville, SC
    Greenville, SC
    Greenville, SC
    Cary, NC
  • 2017-06-15 → 2019-03-19
    Truist Advisory Services, Inc.
    Black Mountain, NC
    Asheville, NC
    Asheville, NC
    Arden, NC
    Asheville, NC
  • 2013-08-16 → 2017-06-22
    Bb&T Securities, Llc
    Asheville, NC
  • 2009-07-01 → 2013-08-16
    Fifth Third Securities, Inc.
    Lincolnton, NC
    Rutherfordton, NC
    Kings Mountain, NC
    Forest City, NC
    Boiling Springs, NC
    Shelby, NC
    Asheville, NC
    Black Mountain, NC
    Marion, NC
    West Jefferson, NC
    Jefferson, NC
    Brevard, NC
    Forest City, NC
    Rutherfordton, NC
    Sparta, NC
    Banner Elk, NC
  • 2004-09-03 → 2009-07-08
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Asheville, NC
    Asheville, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-02
  • S66 Uniform Combined State Law Examination
    2004-09-02
Other Names
  • Charley Smith
  • Charles Warren Smith

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
BROOKSTONE CAPITAL MANAGEMENT LLC
PROSPERITY CAPITAL ADVISORS
FIRST CITIZENS INVESTOR SERVICES, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC

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MELISSA TERRY FINCH
Bailey Baron Killough
Kristi Lynn House
Hunter Thomas Osborne
KENNETH FARR DOWNER
REBECCA NOBLETT ROBERTS
MOLLY HILLYARD RICE
AUDRIANNA ISLAS

Other Offices

CREDIT UNION INVESTMENT SERVICES · Arden, NC
CREDIT UNION INVESTMENT SERVICES · Arden, NC
KENNETH FRENKE & CO · ARDEN, NC
WELLS FARGO CLEARING SERVICES, LLC · ARDEN, NC
BROOKSTONE CAPITAL MANAGEMENT LLC · Arden, NC
PROSPERITY CAPITAL ADVISORS · Arden, NC
PROSPERITY CAPITAL ADVISORS · ARDEN, NC
FIRST CITIZENS INVESTOR SERVICES, INC. · ARDEN, NC

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