Charles William Rawl

Employer firm

Sunbelt Securities, Inc. CRD 42180

$2.64B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2009 → Present
  Sunbelt Securities, Inc.
  Houston, TX
• 01/2013 → 02/2017
  Charles W Rawl & Associates
  Houston, TX
• 03/2017 → 05/2018
  C Squared Wealth / C2 Wealth (Dba)
  Houston, TX
• 05/2018 → Present
  Charles W. Rawl & Associates, Llc (Dba)
  Houston, TX

Previous Registrations

• 2008-01-08 → 2009-02-20
  Usf Advisors, Llc
  Houston, TX
• 2008-01-08 → 2009-02-20
  Usf Alternative Services, Llc
  Houston, TX
• 2005-05-13 → 2008-01-15
  Stanford Group Company
  Houston, TX
  Houston, TX
• 2001-04-12 → 2005-05-27
  Ubs Financial Services Inc.
  Houston, TX

Other Businesses

1.) Charles W. Rawl & Associates, LLC (DBA): Investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. DBA for investment business conducted as a Registered Representative/Advisor under Sunbelt Securities, Inc. Start: May 2018. Commission and fees through Sunbelt, 40 hours per week primarily during trading hours. 2.) Retirement Income and Legacy Planners (DBA) under company name Charles W. Rawl & Associates, LLC (DBA): Investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. DBA for investment business conducted as a Registered Representative/Advisor under Sunbelt Securities, Inc. Start: July 2021. Commission and fees through Sunbelt, 40 hours per week primarily during trading hours. 3.) Charles W. Rawl & Associates, LLC (OBA): Not investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. Insurance agency for fixed life insurance and annuities, group medical insurance and life settlements. Commission, fees and referral fees. Start 01/2013. 10-20 hours per week, time intermingled in trading hours. 4.) Charles W. Rawl & Associates, LLC (OBA): Not investment related. 2700 Post Oak Blvd., Ste 1700, Houston, TX 77056. Estate planning services. No relationship. Start: 01/15/2025. 2 to 4 hours per week, some during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-04
• S63 Uniform Securities Agent State Law Examination
  1995-05-09

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Charlie Rawl