Charles Stockham has been an investment adviser representative at IA Network since July 2022, and is not listed among the firm’s executive officers or direct owners. Charles Stockham holds a BS from the School of Business, University of Alabama.
Ia Network, LLC is a Charlotte, NC firm with $200M under management, 259 clients and 4 advisers across 4 offices, as of its March 2026 filing.
Charles Stockham is Founder and Chief Investment Strategist of Stockham Financial, based in Pinehurst. He helps clients develop personal investment objectives and creates an investment plan to match them, with ongoing monitoring and reallocating. After graduating from the University of Alabama, he worked in the iron and steel foundry industry for ten years, began working for a large regional brokerage firm in 1985, and opened Stockham Financial in 1992.
Charles Stockham’s longest registration was 10 years at First Allied Securities, Inc. (2002–2012). Before joining IA Network in 2022, Charles Stockham was registered through Cetera Investment Advisers LLC and First Allied Advisory Services, Inc.
- Cetera Investment Advisers LLC– · 1 yearPinehurst, NC · Adviser representative · Firm CRD 105644
- First Allied Advisory Services, Inc.– · 8 yearsPinehurst, NC · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 10 yearsPinehurst, NC · Adviser representative · Firm CRD 32444
Investment adviser representative registrations
Charles Stockham is registered as an investment adviser representative in North Carolina, since July 2022.
- North CarolinaSince 28 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 72 | Government Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 January 2012 |
| Series 24 | General Securities Principal Examination | 9 June 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 February 1986 |
| Series 7 | General Securities Representative Examination | 15 February 1986 |
- Name
- Operations Professional Examination
- Name
- Government Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Edward Stockham
- CRD
- 1450631
- Firm
- IA Network · CRD 319096
- Office
- 90 Aviemore Drive, Pinehurst, NC 28374
- Registration
- Investment adviser registration
- In the industry since
- February 1986
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- stockhamfinancial.com
Where does Charles Stockham work?
Charles Stockham is an investment adviser representative registered through Ia Network, LLC since July 2022, and is not listed among the firm’s executive officers or direct owners.
Is Charles Stockham a financial advisor?
Yes. Charles Stockham has a current investment-adviser registration in North Carolina, through IA Network since July 2022.
How many years of experience does Charles Stockham have?
Charles Stockham has 40 years in the financial industry, since February 1986, across 4 adviser firms.
What exams has Charles Stockham passed?
Charles Stockham has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 99TO and Series 72. The earliest, the Series 7, was passed in February 1986. FINRA credited Charles Stockham with the SIE, which began in October 2018.
Where did Charles Stockham work before IA Network?
Before IA Network, Charles Stockham was registered through Cetera Investment Advisers LLC, November 2020 to July 2022; First Allied Advisory Services, Inc., July 2012 to November 2020; First Allied Securities, Inc., April 2002 to July 2012.
Where is Charles Stockham based?
Charles Stockham’s registered office is in Pinehurst, NC.
Is Charles Stockham registered with FINRA?
No. Charles Stockham has no current broker registration.
How can I verify Charles Stockham’s record?
Search CRD 1450631 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Stockham’s full registration record.