Charles Alan Chambers

Current Employers

Osaic Institutions, Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2023-02-01
VA	RA	APPROVED	2023-02-01

NC RA
APPROVED

Since 2023-02-01
VA RA
APPROVED

Since 2023-02-01

Branch Locations

6752 Rock Spring Rd #100, Wilmington, NC 28405 • 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
Bb&T Investments	Mclean	VA	09/2010	01/2018
Bb&T Securities, Llc	Wilmington	NC	01/2018	02/2020
The Prudential Insurance Company Of America	Mount Pleasant	SC	02/2020	07/2020
Pruco Securities Llc	Mount Pleasant	SC	02/2020	07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Wilmington	NC	07/2020	01/2023
Bank Of America, N.A.	Wilmington	NC	09/2020	01/2023
Infinex Investments, Inc.	Meriden	CT	01/2023	Present
Southern Bank	Wilmington	NC	01/2023	Present

09/2010 → 01/2018

Bb&T Investments

Mclean, VA
01/2018 → 02/2020

Bb&T Securities, Llc

Wilmington, NC
02/2020 → 07/2020

The Prudential Insurance Company Of America

Mount Pleasant, SC
02/2020 → 07/2020

Pruco Securities Llc

Mount Pleasant, SC
07/2020 → 01/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wilmington, NC
09/2020 → 01/2023

Bank Of America, N.A.

Wilmington, NC
01/2023 → Present

Infinex Investments, Inc.

Meriden, CT
01/2023 → Present

Southern Bank

Wilmington, NC

Previous Registrations

2020-08-05 → 2023-01-31

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wilmington, NC
2020-03-06 → 2020-07-22

Pruco Securities, Llc.

Mt. Pleasant, SC

Mt. Pleasant, SC
2018-01-02 → 2020-02-18

Bb&T Securities, Llc

Charlotte, NC

Wilmington, NC
2010-09-16 → 2018-01-02

Bb&T Investment Services, Inc.

Salisbury, MD

Easton, MD

Bishopville, MD

Washington, DC

Washington, DC

Frederick, MD

Frederick, MD

Alexandria, VA

Walkersville, MD

Severna Park, MD

Middletown, MD

Glen Burnie, MD

Annapolis, MD

Centreville, MD

Annapolis, MD

Wilmington, NC

Wilmington, NC

Shallotte, NC

Whiteville, NC

Fayetteville, NC

Fayetteville, NC

Raeford, NC

Rockingham, NC

Fayetteville, NC

Wilmington, NC

Mc Cormick, SC

West Columbia, SC

Leland, NC

Vass, NC

Whiteville, NC

Batesburg, SC

Pinehurst, NC

Southern Pines, NC

West Columbia, SC

Sanford, NC

Wilmington, NC

Lexington, SC

Charleston, SC

Bluffton, SC

Wilmington, NC

Clinton, NC

Fayetteville, NC

Orangeburg, SC

Murrels Inlet, SC

Asheboro, NC

Wilmington, NC

Newberry, SC

Swansea, SC

Johns Island, SC

Aberdeen, NC

Hampton, SC

Charleston, SC

Hope Mills, NC

Liberty, NC

Shallotte, NC

Mount Pleasant, SC

Chapin, SC

Hamlet, NC

Tabor City, NC

Wallace, NC

Lexington, SC

Pinehurst, NC

Laurinburg, NC

Southport, NC

Columbia, SC

Florence, SC

Columbia, SC

North Charleston, SC

Elizabethtown, NC

Seven Lakes, NC

Irmo, SC

Sumter, SC

West Columbia, SC

Columbia, SC

Ocean Isle Beach, NC

Mount Pleasant, SC

Southport, NC

Newton Grove, NC

Fayetteville, NC

Little River, SC

Wadesboro, NC

Goose Creek, SC

Summerville, SC

Pinehurst, NC

Beaufort, SC

Sanford, NC

Pinehurst, NC

Myrtle Beach, SC

Conway, SC

Columbia, SC

Summerville, SC

Beaufort, SC

Lumberton, NC

Whiteville, NC

Myrtle Beach, SC

Supply, NC

Clinton, NC

Red Springs, NC

West Columbia, SC

Charleston, SC

North Myrtle Beach, SC

Fayetteville, NC

Fayetteville, NC

Florence, SC

Carthage, NC

Daniel Island, SC

Columbia, SC

Columbia, SC

Irmo, SC

Riegelwood, NC

Columbia, SC

Jarrettsville, MD

North Myrtle Beach, SC

Surfside Beach, SC

Baltimore, MD

Wilmington, NC

Annandale, VA

Falls Church, VA

Mclean, VA

Fairfax, VA

Falls Church, VA

Charlotte, NC

Mclean, VA

Annandale, VA

Conway, SC

Myrtle Beach, SC

Myrtle Beach, SC

Greensboro, MD

La Plata, MD

White Plains, MD

Deale, MD

Edgewater, MD

Lothian, MD

Waldorf, MD

Dunkirk, MD

California, MD

Crofton, MD

Prince Frederick, MD

Germantown, MD

Waldorf, MD

Bethesda, MD

Rockville, MD

Gaithersburg, MD

Poolesville, MD

Rockville, MD

Havre De Grace, MD

Columbia, MD

Elkridge, MD

Laurel, MD

Catonsville, MD

Laurel, MD

Columbia, MD

Mount Airy, MD

Finksburg, MD

Columbia, SC

Annapolis, MD

Annapolis, MD

Silver Spring, MD

Chestertown, MD

College Park, MD

Fairfax, VA

Washington, DC

Washington, DC

Annapolis, MD

Bel Air, MD

Resiterstown, MD

Eldersburg, MD

Arlington, VA

Arlington, VA

Baltimore, MD

Owings Mills, MD

Frederick, MD

Alexandria, VA

Bel Air, MD

Frederick, MD

Frederick, MD

Pikesville, MD

Westminster, MD

Arlington, VA

Arlington, VA

Westminster, MD

Largo, MD

Mitchellville, MD

Hampstead, MD

Bowie, MD

Fort Washington, MD

Timonium, MD

Camp Springs, MD

Baltimore, MD

Forestville, MD

Hyattsville, MD

Hunt Valley, MD

Manchester, MD

Taneytown, MD

Washington, DC

Alexandria, VA

Bowie, MD

Clinton, MD

Oxon Hill, MD

Upper Marlboro, MD

Walterboro, SC

Myrtle Beach, SC

Chesapeake, VA

Pawleys Island, SC

Havelock, NC

Carolina Beach, NC

Lexington, SC
2009-04-17 → 2010-04-19

Ameriprise Financial Services, Llc

Minneapolis, MN

Vienna, VA

Vienna, VA

Raleigh, NC

Columbia, SC

Vienna, VA
2007-04-10 → 2009-10-05

Ameriprise Advisor Services, Inc.

Vienna, VA

Washington, DC

Raleigh, NC

Columbia, SC

Virginia Beach, VA

Charlottesville, VA
2003-07-16 → 2007-03-06

Wells Fargo Clearing Services, Llc

Baltimore, MD

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Bethesda, MD

Bethesda, MD

Bethesda, MD

Bowie, MD

District Heights, MD

Gaithersburg, MD

Gaithersburg, MD

Kensington, MD

Landover, MD

Takoma Park, MD

Laurel, MD

Oxon Hill, MD

Potomac, MD

Rockville, MD

Rockville, MD

Silver Spring, MD

Silver Spring, MD

Wheaton, MD

Alexandria, VA

Alexandria, VA

Alexandria, VA

Alexandria, VA

Alexandria, VA

Alexandria, VA

Alexandria, VA

Columbia, MD

Alexandria, VA

Germantown, MD

Alexandria, VA

Alexandria, VA

Alexandria, VA

Falls Church, VA

Bethesda, MD

Washington, DC

Washington, DC

Washington, DC
2002-01-16 → 2003-07-21

Ubs Financial Services Inc.

Washington, DC

Other Businesses

1.) Wilmington Area Rebuilding Ministry (WARM) Not investment related. Board member. Non profit. Approx 1 hour per month. 2.) Outreach of Cape Fear. Not investment related. Board member. Approx 1 hour per month. 3.) UNCW Cameron Executive Network, Wilmington, NC. Not investment related. Started in 2021. Approx 1 hour per month. Advisory Board member and mentor.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-03
S65	Uniform Investment Adviser Law Examination	1991-02-11
S63	Uniform Securities Agent State Law Examination	1990-02-01

S66 Uniform Combined State Law Examination

2008-01-03
S65 Uniform Investment Adviser Law Examination

1991-02-11
S63 Uniform Securities Agent State Law Examination

1990-02-01

View on SEC IAPD

Current Employers

Osaic Institutions, Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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