Charles SurdykeCRD Number: 1305149
Current Firm: Cetera Investment Advisers LLC
Charles Surdyke (CRD# 1305149) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Kirkwood, MO and has over 33 years of experience in the finance industry.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Carsonallaria Wealth Management, Ltd.
|Legend Equities Corporation||Palm Beach Gardens, FL||Apr 2015 - Current||2|
|Cetera Investment Advisers LLC||Schaumburg, IL||Jul 2002 - Current||15|
|Terra/c.t. Solutions, Ltd||St. Louis, MO||Mar 1996 - Current||21|
|Cetera Financial Specialists LLC||Schaumburg, IL||Feb 1996 - Current||21|
|Msmf||Kirkwood, MO||Apr 1990 - Current||27|
|Mo. Neb. Express||St Joseph, MO||Mar 1984 - Current||33|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1984|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management7,010MILLIONS
Total Number of Accounts26,660ACCOUNTS
Average Account Value$262,943
- A percentage of assets under your management
- Hourly charges
- 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VI, VT, WA, WI, WV