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Current Employers
Charter Advisory Corporation

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2015-07-09
  • IN RA
    APPROVED
    Since 2015-07-09

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Lake Worth FL 06/2015 Present
Charter Advisory Corporation Lake Worth TX 03/2016 Present
Previous Registrations
  • 2011-10-24 → 2015-06-03
    Ft. Lauderdale, FL
  • 2011-03-18 → 2011-10-12
    Legend Advisory, Llc
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
  • 2007-10-08 → 2009-10-13
    Mutual Service Corporation
    Boston, MA
  • 2004-04-06 → 2006-06-16
    Boca Raton, FL
    Boca Raton, FL
Other Businesses

1. 06/24/15-NOWAK FINANCIAL SERVICES, LLC/BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY/NAME FOR TAX PURPOSES ONLY./8527 YEARLING DRIVE, LAKE WORTH, FL 33467 2. 06/24/15-REAL ESTATE AGENT/MORTGAGE/REAL ESTATE SERVICES/1. LICENSED REAL ESTATE SALES ASSOCIATE 2. RES 3. Y 3.A SL3234574 4. RESIDENTIAL REAL ESTATE SALES 5. Y/1%/8527 YEARLING DRIVE, LAKE WORTH, FL 33467 3. 06/24/15-DEPENDABLE LAWN SERVICE, INC/SECRETARY/OTHER/1%/LAKE WORTH,FL 4. 03/29/2016 * Charter Advisory Corporation * Registered Investment Advisor Hybrid * (Hybrid) Charter Advisory Corporation * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 06/02/2015 * Compliance staff; licensed IAR - 1) on file 2) no 3) yes 5. 6/18/2019 - OSJ Alliance, LLC - Investment Related - 8527 Yearling Dive, Lake Worth, FL 33467 - Other-OSJ Alliance - Started 06/01/2016 - 160 Hours Per Month During Securities Trading - Contract employee paid by OSJ alliance. Mike Kelley, and Peter Beronio, are the owners.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-19
S63 Uniform Securities Agent State Law Examination 1996-06-05
  • S65 Uniform Investment Adviser Law Examination
    2003-05-19
  • S63 Uniform Securities Agent State Law Examination
    1996-06-05
Other Names
  • Sina Mary James
  • Sina Mary Willis
  • Sina James
  • Sina Mary James

View on SEC IAPD

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