Charles E Ward

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2026-03-17

TN RA
APPROVED

Since 2026-03-17

Branch Locations

Madison, TN • United States

1032 W Main St, Lebanon, TN 37087 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Boy Scouts Of America Middle Tennessee Council	Nashville	TN	08/2022	05/2024
Coastal Carolina University	Conway	SC	08/2018	05/2022
Ymca Camp Seagull	Arapahoe	NC	05/2015	08/2024
St. Anne's Catholic School	Fort Mill	SC	08/2015	05/2018
Htk Wealth Management	Lebanon	TN	08/2024	Present
Lpl Financial Llc	Lebanon	TN	08/2024	03/2026
Cetera Advisors Llc	St. Cloud	MN	03/2026	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2026	Present

08/2022 → 05/2024

Boy Scouts Of America Middle Tennessee Council

Nashville, TN
08/2018 → 05/2022

Coastal Carolina University

Conway, SC
05/2015 → 08/2024

Ymca Camp Seagull

Arapahoe, NC
08/2015 → 05/2018

St. Anne's Catholic School

Fort Mill, SC
08/2024 → Present

Htk Wealth Management

Lebanon, TN
08/2024 → 03/2026

Lpl Financial Llc

Lebanon, TN
03/2026 → Present

Cetera Advisors Llc

St. Cloud, MN
03/2026 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2025-07-28 → 2026-03-24

Lpl Financial Llc

Lebanon, TN

Other Businesses

1. NAME OF OTHER BUSINESS: HTK WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FIND, PROSPECT & SIGN CLIENTS;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-07-24

S66 Uniform Combined State Law Examination

2025-07-24

View on SEC IAPD