# Charles Carty

> Charles Carty is a fee-only financial advisor at Carty Financial in Thousand Oaks, California. Carty Financial reports charging a percentage of assets, hourly fees and fixed fees on its Form ADV.

Page: https://find.wellspent.co/advisors/charles-carty/
Built from SEC adviser records; last checked October 30, 2026.

## Facts

- **Firm:** Carty Financial
- **Based in:** Thousand Oaks, California
- **Fee model (firm's Form ADV):** Percentage of assets; Hourly; Fixed fees
- **Assets under management (firm):** $40.2M across 125 accounts
- **CRD:** 2365884 (https://adviserinfo.sec.gov/individual/summary/2365884)
- **SEC registration:** Investment adviser representative in CA
- **Exams passed:** Series 63 (1993), Series 65 (1993)
- **Firm size:** 1 employee
- **Disclosures:** None reported
- **Website:** http://cartyfinancial.com

## Frequently asked questions

### Is Charles Carty a fee-only financial advisor?

Yes, according to SEC records as of October 29, 2026: Charles holds no broker registration, and Carty Financial reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.

### How does Charles charge for financial advice?

Charles's firm, Carty Financial, reports charging a percentage of assets, hourly fees and fixed fees on its SEC Form ADV.

### Where is Charles Carty based?

Charles Carty is based in Thousand Oaks, California.

### Is Charles Carty registered with the SEC?

Yes. Charles Carty is registered as an investment adviser representative in CA (CRD 2365884), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.

### How much does Carty Financial manage?

Carty Financial reports $40.2M across 125 accounts in assets under management.

### How do I contact Charles Carty?

Through Charles's website, cartyfinancial.com.

## Sources

- SEC adviser records (https://adviserinfo.sec.gov/individual/summary/2365884): the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure and Form ADV: registration, exams, and firm facts, data as of October 29, 2026

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Source: Wellspent, the public graph of fee-only advisors (https://find.wellspent.co). No paid placement.