Charles K. Buckley
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
NICHOLASVILLE, KY 40356
Some features on this profile are disabled
CRD#: 1752633
Professional summary
Charles Kelly Buckley, CFP® is a registered financial advisor currently at SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. located in Nicholasville, Kentucky.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Charles has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Divorce Planning
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Investment Planning
Business Succession Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Kelly Buckley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
April 29, 1997 - Present
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
Office #1: 105 Wind Haven Drive, Nicholasville, KY 40356RIA
CRD#: 125147
NICHOLASVILLE, KY
Past
March 31, 2003 - August 20, 2003
TRIAD ADVISORS LLC
RIA
CRD#: 25803
NICHOLASVILLE, KY
Past
December 21, 2002 - May 1, 2006
TRIAD ADVISORS LLC
BD
CRD#: 25803
NICHOLASVILLE, KY
Past
April 13, 1995 - January 22, 2003
LPL FINANCIAL LLC
RIA
CRD#: 6413
NICHOLASVILLE, KY
Past
April 13, 1995 - January 22, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 21, 1987 - May 2, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. | SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC
CRD#: 125147 / SEC#: 801-79371
RIA
Registered Investment Advisory firm - (3/31/2014 Approved)Arizona
Registered Investment Advisory firm - (12/19/2005 Terminated)Indiana
Registered Investment Advisory firm - (12/19/2005 Terminated)Kentucky
Registered Investment Advisory firm - (4/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (4/21/2014 Terminated)Mississippi
Registered Investment Advisory firm - (12/19/2005 Terminated)Missouri
Registered Investment Advisory firm - (12/19/2005 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2005 Terminated)Texas
Registered Investment Advisory firm - (4/16/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(4/29/1997)
IAR
Texas(1/28/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. | SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC
CRD#: 125147 / SEC#: 801-79371
RIA
Registered Investment Advisory firm - (3/31/2014 Approved)Arizona
Registered Investment Advisory firm - (12/19/2005 Terminated)Indiana
Registered Investment Advisory firm - (12/19/2005 Terminated)Kentucky
Registered Investment Advisory firm - (4/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (4/21/2014 Terminated)Mississippi
Registered Investment Advisory firm - (12/19/2005 Terminated)Missouri
Registered Investment Advisory firm - (12/19/2005 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2005 Terminated)Texas
Registered Investment Advisory firm - (4/16/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
105 Wind Haven Drive, Nicholasville, KY 40356
Mailing Address
Phone number
(859) 223-6333
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,581 |
| AUM (Assets Under Management) | $ 516,925,597 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
CRD#: 125147Nicholasville, KY 40356TRUST BUT VERIFY
Monitor Charles Buckley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
