Charles Roberts, financial advisor Windham NH
83 score

Charles Roberts

CRD Number: 4533614
Current Firm: Founders Financial Securities, LLC

Charles Roberts (CRD# 4533614) is an Investment Advisor Representative working at Founders Financial Securities, LLC in Windham, NH and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Dreambridge Financial Windham, NH May 2015 - Current 1
Founders Financial Securities, LLC Towson, MD Nov 2013 - Current 3
Various Insurance Carriers Haverhill, MA Mar 2003 - Current 13
Indian Rock Financial Group, LLC Windham, NH Nov 2013 - May 2015 1
Purshe Kaplan Sterling Investments Albany, NY Feb 2011 - Nov 2013 2
New England Investment & Retirement Group, Inc. Methuen, MA Feb 2004 - Nov 2013 9
Commonwealth Financial Network Waltham, MA Feb 2004 - Feb 2011 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2002
S65 NASAA Investment Advisors Law Examination Dec 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Charles E. Roberts
Phone Number: 410-308-9988
Registered State(s):
  • NH
By the Numbers
  • Total Assets Under Management
    615
    MILLIONS
  • Total Number of Accounts
    7,645
    ACCOUNTS
  • Average Account Value
    $80,383
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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