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Detailed Report
JAMES GREGORY CHARLES
CRD#: 1785950
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Investment Adviser
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Previous Broker
SANCTUARY FINANCIAL PLANNING, LLCCRD#: 325857 601 SOUTH KINGS DRIVE
SUITE F-155
CHARLOTTE, NC 28204
Registration History
19952000200520102015202020252 FIRMS2008 - 2021 (12 years)IASANCTUARY FINANCIAL PLANNING, LLC (CRD# 325857)2023 - Present (2 years)BAMERICAN CENTURY INVESTMENT SE... (CRD# 17437)2000 - 2008 (8 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1993 - 1995 (1 year)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1992 - 1993 (1 year)
License(s)

State Registrations

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California 7/17/2024
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Texas 7/20/2023
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North Carolina 4/10/2023
Current Registration(s)
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SANCTUARY FINANCIAL PLANNING, LLC (CRD#:325857)
601 SOUTH KINGS DRIVE SUITE F-155, CHARLOTTE, NC 28204
Registered with this firm since 4/10/2023
Previous Registration(s)
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 09/08/2008 - 08/13/2021 DIMENSIONAL FUND ADVISORS LP (CRD#:106482) CHARLOTTE, NC
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 09/08/2008 - 08/13/2021 DFA SECURITIES LLC (CRD#:10292) CHARLOTTE, NC
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 04/27/2000 - 08/13/2008 AMERICAN CENTURY INVESTMENT SERVICES INC. (CRD#:17437) KANSAS CITY, MO
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 12/17/1993 - 03/15/1995 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
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 09/30/1992 - 12/16/1993 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.