Charles Rawl
CRD Number: 2606069
Current Firm: Sunbelt Securities
Compensation Model: Both
Charlie Rawl is focused on helping clients work toward their retirement dreams through a well-thought-out financial strategy for retirement. He has distinguished himself throughout his career as a troubleshooter and problem solver by designing and implementing creative solutions to often-complex problems. Charlie consistently delivers personalized service while placing the ultimate value on ethics, integrity and trust.
Charlie got his start in the financial services industry in 1981 after graduating with a Bachelor of Business Administration in finance from the University of Texas at Austin. He worked in banking as a financial analyst, commercial loan officer and commercial loan workout expert. In the late 1980s, he managed the FDIC-sanctioned National Asset Bank, the first “liquidating bank,” created by the merger of Allied Bancshares and First Interstate.
After invaluable experience at New York Life, Merrill Lynch and UBS, Charlie decided the best way to serve his clients was to escape the inherent conflicts of interest of the major firms. In 2005, he joined the independent, Houston-based Stanford Financial Group; however, he soon found that the firm’s management did not share his code of ethics. He resigned in December 2007 and started his own firm.
After Charlie’s departure, he fought an epic battle against Stanford and worked perilously to help federal and state authorities shut down the enterprise in 2009. He became known as a “whistleblower” in the $7 billion Stanford fraud debacle. At the time, there were no rules or procedures to follow as a whistleblower in the industry.
Consequently, the difficult battle he fought helped inspire the creation of the Office of the Whistleblower as well as the whistleblower protection provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act. Charlie testified before Congress in a hearing titled “The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud.” He has spent countless hours helping the victims of the Stanford fraud while raising awareness of the need for further regulatory reform.
Charlie and his wife, Susie, reside in Katy, Texas. Their twins, Maddie and Zach, are both in college majoring in business. Maddie, an academic and athletic scholar, attends Loyola Marymount University in Los Angeles. Zach, an avid golfer with a growing interest in politics and public policy, attends the Bauer College of Business at the University of Houston.
CRD# 2390431
The Goff Financial Group
CRD# 2687188
Hightower Advisors, LLC
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Worthen Financial Advisors
Company Name | Location | Dates | Years |
---|---|---|---|
Charles W. Rawl & Associates, Llc (dba) | Houston, TX | May 2018 - Current | 6 |
Sunbelt Securities, Inc. | Houston, TX | Feb 2009 - Current | 15 |
C Squared Wealth / C2 Wealth (dba) | Houston, TX | Mar 2017 - May 2018 | 1 |
Charles W Rawl & Associates | Houston, TX | Jan 2013 - Feb 2017 | 4 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | May 1995 |
S65 | NASAA Investment Advisors Law Examination | Dec 1997 |
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Total Assets Under Management1,908MILLIONS
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Total Number of Accounts4,727ACCOUNTS
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Average Account Value$403,554
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, CT, FL, GA, IA, IL, IN, KY, LA, MA, MD, MI, MO, MS, MT, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY
Charles W. Rawl is a registered representative of, and securities and investment advisory services are offered through Sunbelt Securities, Inc., member FINRA/SIPC. Fixed life insurance products are offered through Charles W. Rawl & Asssociates, LLC. Charles W. Rawl & Associates, LLC and Sunbelt Securities, Inc. are unaffiliated companies.
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