About Carolinas Wealth Management Group
We are a full service financial planning firm ready to help you meet your retirement income needs and goals.
See Disclosures
General Information
Firm Start Year
2002
No. of Employees
10-19
CRD#
7436040
Firm CRD#
46947
Name of Broker/Dealer
SilverOak Securities
Name of Custodial Firm
Charles Schwab
Number of Years with Current Firm
23
Work with the following types of clients
Businesses, Individual Investors
Advisory Services Provided
Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, 401K Rollovers, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Accident, Casualty, Property, Disability
Firm Information
Firm's Number of Clients
15000
Firm's Number of Planning Clients
5000
Firm's Number of Managed Clients
500
Assets Managed by Firm
25,000,000
Advisor's Number of Clients
500
Advisor's Number of Managed Clients
100
Advisor's Number of Planning Clients
100
Assets Managed by Advisor
$100,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$50,000
Compensation Methods
Based on Assets
Fee % Based on Assets
.75 -1.5%
Additional Details on Charges
Assets under management fee percentage based on a tiered scale depending on assets.
Disclosures
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1891954/financialplanners-Carolinas-Wealth-Management-Group-detailed-disclosure.html