Charles Brocato, financial advisor Fortson GA

Charles Brocato

CRD Number: 5762605
Current Firm: Nfp Retirement Inc.

Charles Brocato (CRD# 5762605) is an Investment Advisor Representative working at Nfp Retirement Inc. in Fortson, GA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Nfp Retirement, Inc. Aliso Viejo, CA Jan 2021 - Current 3
Bok Financial Securities, Inc. Denver, CO Apr 2019 - Dec 2020 1
Bokf, Na Denver, CO Apr 2019 - Dec 2020 1
Bok Financial Asset Management, Inc. Houston, TX Mar 2019 - Dec 2020 1
Kestra Financial Services, Inc. Austin, TX Apr 2016 - Mar 2019 2
Nfp Advisor Services, LLC Denver, CO Jan 2015 - Apr 2016 1
Gwfs Equities, Inc. Greenwood Village, CO Oct 2013 - Jan 2015 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Charles T. Brocato
Phone Number: 949-460-9898
Registered State(s):
  • CA
  • CO
  • GA
By the Numbers
  • Total Assets Under Management
    75,046
    MILLIONS
  • Total Number of Accounts
    5,162
    ACCOUNTS
  • Average Account Value
    $14,538,219
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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