Charles Buckley has been Managing Member and Managing Director for Asset Management and Chief Compliance Officer of Spectrum Financial Alliance since January 2000, is a control person of the firm and directly owns 75% or more of it.
Spectrum Financial Alliance, LTD., L.L.C. is a Nicholasville, KY firm with $813M under management, 674 clients and 3 advisers in one office, as of its August 2026 filing.
C. Kelly Buckley is Founder of Spectrum Financial Alliance Ltd., L.L.C., and its Managing Principal and Managing Director for Asset Management. He describes nearly 32 years of helping clients build financial security, grow their assets, fund their children's education and secure retirement income.
Charles Buckley’s longest registration is the current one, 29 years at Spectrum Financial Alliance since 1997. Before joining Spectrum Financial Alliance in 1997, Charles Buckley was registered through Linsco/Private Ledger Corp.
- Triad Advisors, Inc.– · under a yearNicholasville, KY · Adviser representative · Firm CRD 25803
- – present · 29 yearsNicholasville, KY · Adviser representative · Firm CRD 125147
- Linsco/Private Ledger Corp.– · 7 yearsNicholasville, KY · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Charles Buckley is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from April 1997; the most recent is Texas, in January 2005.
- KentuckySince 29 April 1997
- TexasResidentSince 28 January 2005
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 17 July 1995 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 October 1987 |
| Series 7 | General Securities Representative Examination | 17 October 1987 |
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Kelly Buckley
- CRD
- 1752633
- Firm
- Spectrum Financial Alliance · CRD 125147
- Role
- Managing Member and Managing Director for Asset Management; Chief Compliance Officer
- Office
- 105 WIND HAVEN DRIVE, Nicholasville, KY 40356
- Registration
- Investment adviser registration
- In the industry since
- April 1995
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- spectrumalliance.com
Where does Charles Buckley work?
Charles Buckley has been Managing Member and Managing Director for Asset Management; Chief Compliance Officer of Spectrum Financial Alliance, LTD., L.L.C. since January 2000, and is a control person of the firm.
Is Charles Buckley a financial advisor?
Yes. Charles Buckley has a current investment-adviser registration in Kentucky and Texas, through Spectrum Financial Alliance since April 1997.
How many years of experience does Charles Buckley have?
Charles Buckley has 31 years in the financial industry, since April 1995, across 3 adviser firms.
What exams has Charles Buckley passed?
Charles Buckley has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 24. The earliest, the Series 7, was passed in October 1987.
Where is Charles Buckley based?
Charles Buckley’s registered office is in Nicholasville, KY.
Is Charles Buckley registered with FINRA?
No. Charles Buckley has no current broker registration.
How can I verify Charles Buckley’s record?
Search CRD 1752633 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Buckley’s full registration record.