Charles Goings has been an investment adviser representative at Ascendor Wealth since September 2020, and is not listed among the firm’s executive officers or direct owners.
Ascendor Wealth, LLC is a Wilmington, NC firm with $146M under management, 140 clients and 6 advisers across 3 offices, as of its July 2026 filing.
Charles Goings’ longest registration is the current one, 6 years at Ascendor Wealth since 2020. Before joining Ascendor Wealth in 2020, Charles Goings was registered through Vanguard Advisers, Inc.
- Ascendor Wealth, LLCCurrent– present · 6 yearsWilmington, NC · Adviser representative · Firm CRD 148969
- Vanguard Advisers, Inc.– · 1 yearCharlotte, NC · Adviser representative · Firm CRD 106715
Investment adviser representative registrations
Charles Goings is registered as an investment adviser representative in North Carolina, since September 2020.
- North CarolinaSince 28 September 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 12 September 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 August 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Charles Nathan Goings
- CRD
- 5931241
- Firm
- Ascendor Wealth · CRD 148969
- Office
- 5700 OLEANDER DRIVE, Wilmington, NC 28403
- Registration
- Investment adviser registration
- In the industry since
- May 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Charles Goings work?
Charles Goings is an investment adviser representative registered through Ascendor Wealth, LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is Charles Goings a financial advisor?
Yes. Charles Goings has a current investment-adviser registration in North Carolina, through Ascendor Wealth since September 2020.
How many years of experience does Charles Goings have?
Charles Goings has 14 years in the financial industry, since May 2012, across 2 adviser firms.
What exams has Charles Goings passed?
Charles Goings has passed 2 licensing exams: the Series 63 and Series 7. The earliest, the Series 63, was passed in August 2011. FINRA credited Charles Goings with the SIE, which began in October 2018.
Where did Charles Goings work before Ascendor Wealth?
Before Ascendor Wealth, Charles Goings was registered through Vanguard Advisers, Inc., March 2018 to November 2019.
Where is Charles Goings based?
Charles Goings’ registered office is in Wilmington, NC.
Is Charles Goings registered with FINRA?
No. Charles Goings has no current broker registration.
How can I verify Charles Goings’ record?
Search CRD 5931241 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Goings’ full registration record.
