Charles Evan Moffitt

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

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

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2023-02-17
TX	RA	APPROVED	2023-02-17

Branch Locations

4 Carter Green, Suite 100, Carmel, IN 46032 • United States

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

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Denver	CO	06/2022	02/2023
Indiana University- Residential Programs & Services	Bloomington	IN	12/2020	05/2022
Indiana University- Moneysmarts	Bloomington	IN	01/2019	08/2021
Lakeview Ministries	Seymour	IN	05/2019	08/2020
Indiana University-Jellison Living Learning Center	Bloomington	IN	03/2019	05/2020
Charles Schwab & Co., Inc.	Indianapolis	IN	06/2021	08/2021
Rockefeller Financial Llc	Carmel	IN	02/2023	Present
Lutheran High School Of Indianapolis	Indianapolis	IN	08/2014	05/2018
Indiana University - Bloomington	Bloomington	IN	08/2018	05/2022

06/2022 → 02/2023

Charles Schwab & Co., Inc.

Denver, CO
12/2020 → 05/2022

Indiana University- Residential Programs & Services

Bloomington, IN
01/2019 → 08/2021

Indiana University- Moneysmarts

Bloomington, IN
05/2019 → 08/2020

Lakeview Ministries

Seymour, IN
03/2019 → 05/2020

Indiana University-Jellison Living Learning Center

Bloomington, IN
06/2021 → 08/2021

Charles Schwab & Co., Inc.

Indianapolis, IN
02/2023 → Present

Rockefeller Financial Llc

Carmel, IN
08/2014 → 05/2018

Lutheran High School Of Indianapolis

Indianapolis, IN
08/2018 → 05/2022

Indiana University - Bloomington

Bloomington, IN

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-09-16

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