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Current Employers
Charter Advisory Corporation

250 E. 96Th Street Suite 200, Indianapolis, IN 46240 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-10-01
  • OH RA
    APPROVED
    Since 2009-10-01

Branch Locations

3814 West Street Suite 303, Mariemont, OH 45227 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Powers Benefits Corp Cincinnati OH 11/1999 Present
Lpl Financial Llc Mariemont OH 09/2009 Present
Charter Advisory Corporation Mariemont OH 10/2009 Present
  • 11/1999 → Present
    Powers Benefits Corp
    Cincinnati, OH
  • 09/2009 → Present
    Lpl Financial Llc
    Mariemont, OH
  • 10/2009 → Present
    Mariemont, OH
Previous Registrations
  • 2003-06-17 → 2009-09-08
    Mutual Service Corporation
    Boston, MA
    Cincinnati, OH
Other Businesses

(1) 10/16/2009 - POWERS BENEFITS CORP - THIRD PARTY ADMINISTRATOR (TPA) - INV REL - AT REPORTED BUSINESS LOCATION - President - Third Party Administrator for Qualified Retirement Plans - I provide administrative services for qualified retirement plans including: annual compliance testing, form 5500 preparation, account reconciliation - 90% TIME SPENT. (2) 3/25/2010 - POWERS FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. (3) 9/9/2010 - Charter Advisory Corporation - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 10/2009 - 32 Hours Per Month - Time Spent 20% - I provide investment advisory services through Charter Advisory Corporation, an independent investment advisor firm. I started this business activity in 10/2009. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-11-07
  • S63 Uniform Securities Agent State Law Examination
    2002-11-07

View on SEC IAPD

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