Charles Funk: $2.3 Million Complaint Against Philadelphia Advisor

A new investor complaint against Goldman Sachs & Company financial advisor Charles Funk (CRD# 5607011) alleges more than $2 million in damages. Financial Industry Regulatory Authority records show that he is a broker based in Philadelphia, Pennsylvania.

Mr. Funk’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Goldman Sachs & Company, he failed to disclose the risk associated with options investment strategies. (For reference, FINRA’s suitability disclosures require brokers like Mr. Funk to fully and accurately inform their clients of the risks connected with the investments they recommend.) The pending complaint alleges damages of $2.3 million.

According to the Financial Industry Regulatory Authority, Charles Funk holds 12 years of securities industry experience. Based in Philadelphia, Pennsylvania, he has been a broker with Goldman Sachs & Company since 2013. His past registrations include Brinker Capital Securities (Berwyn, Pennsylvania; 2010-2012) and Delaware Distributors (Philadelphia, Pennsylvania; 2008-2010). His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in 53 states and is registered with self-regulatory organizations (SROs) including FINRA, the New York Stock Exchange, the Miami International Securities Exchange, the Nasdaq Stock Market, and the New York Stock Exchange. (Information current as of September 28, 2022.)

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