Charles Minnich has been Chief Compliance Officer of Foundation Capital Management since December 2006, is a control person of the firm and directly owns between 50% and 75% of it.
Foundation Capital Management, LLC is an East Norriton, PA firm with $244M under management, 595 clients and 2 advisers in one office, as of its March 2026 filing.
Charles Minnich’s longest registration is the current one, 19 years at Foundation Capital Management since 2007. Before joining Foundation Capital Management in 2007, Charles Minnich was registered through SSN Advisory, Inc. and Securities America Advisors, Inc.
- The Marshall Financial Group LLC– · under a yearHunt Valley, MD · Adviser representative · Firm CRD 146362
- – present · 19 yearsEast Norriton, PA · Adviser representative · Firm CRD 142659
- SSN Advisory, Inc.– · under a yearNorristown, PA · Adviser representative · Firm CRD 126090
- Securities America Advisors, Inc.– · 7 yearsNorristown, PA · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
Charles Minnich is registered as an investment adviser representative in Pennsylvania, since February 2007.
- PennsylvaniaSince 26 February 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 12 November 1999 |
| Series 7 | General Securities Representative Examination | 23 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 October 1989 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 October 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Charles Joseph Minnich
- CRD
- 1991467
- Firm
- Foundation Capital Management · CRD 142659
- Role
- Chief Compliance Officer
- Office
- 2100 SWEDE RD, East Norriton, PA 19401
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1991
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Charles Minnich work?
Charles Minnich has been Chief Compliance Officer of Foundation Capital Management, LLC since December 2006, and is a control person of the firm.
Is Charles Minnich a financial advisor?
Yes. Charles Minnich has a current investment-adviser registration in Pennsylvania, through Foundation Capital Management since February 2007.
How many years of experience does Charles Minnich have?
Charles Minnich has 35 years in the financial industry, since September 1991, across 4 adviser firms.
What exams has Charles Minnich passed?
Charles Minnich has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in October 1989. FINRA credited Charles Minnich with the SIE, which began in October 2018.
Where did Charles Minnich work before Foundation Capital Management?
Before Foundation Capital Management, Charles Minnich was registered through SSN Advisory, Inc., January 2007 to February 2007; Securities America Advisors, Inc., December 1999 to January 2007.
Where is Charles Minnich based?
Charles Minnich’s registered office is in East Norriton, PA.
Is Charles Minnich registered with FINRA?
Yes. Charles Minnich has a current broker registration, under CRD 1991467.
Source: FINRA BrokerCheck
How can I verify Charles Minnich’s record?
Search CRD 1991467 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Charles Minnich’s full registration record.