Charles Carty
Carty Financial · Thousand Oaks, California
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.
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Facts
| Firm | Carty Financial |
|---|---|
| Based in | Thousand Oaks, California |
| Fee model (firm's Form ADV) | Percentage of assets · Hourly · Fixed fees |
| Assets under management | $40.2M across 125 accounts |
| SEC registration | Investment adviser representative in CA · CRD 2365884 |
| Exams passed | Series 63 (1993) · Series 65 (1993) |
| Firm size | 1 employee |
| Disclosures | None reported |
| Website | cartyfinancial.com |
| Profile |
How Charles's firm compares
- Carty Financial's average account is about $322,000, from its Form ADV (assets managed divided by 125 accounts).
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Questions about Charles
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.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : 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 : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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