Charles Carroll Norfleet

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2017 → 07/2021
  Mcadam Llc
  Boston, MA
• 05/2017 → 04/2019
  Purshe Kaplan Sterling Investments
  Albany, NY
• 09/2013 → 05/2017
  George Washington University
  Washington, DC
• 09/2015 → 01/2017
  Andrews & Cole
  Bethesda, MD
• 01/2021 → 07/2021
  Purshe Kaplan Sterling Investments
  Albany, NY
• 08/2021 → Present
  Norfleet Advisory
  Boston, MA
• 07/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2017-08-30 → 2021-07-23
  Mcadam Llc
  Tysons Corner, VA
  Radnor, PA
  Boston, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: 9/2017 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: I WILL BE PROVIDING INSURANCE SERVICES TO CLIENTS WHEN NEEDED, SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY - SELF INVESTMENT RELATED: NO ADDRESS: PAWCATUCK, CT 06379 NATURE OF BUSINESS: I RENT OUT MY CONDO. START DATE: 7/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I RENT OUT MY CONDO; 3. NAME OF OTHER BUSINESS: NORFLEET ADVISORY INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: OBA USED FOR SALE AND SERVICE OF SECURITIES, INSURANCE AND ADVISORY START DATE: 8/2021 POSITION/TITLE/RELATIONSHIP: OWNER, REGISTERED REP APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER, REGISTERED REP; 4. NAME OF OTHER BUSINESS: CHARLES NORFLEET JR.; INVESTMENT RELATED: NO; ADDRESS: 8 MELROSE ST APT 1 BOSTON, MA 02116; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD, RENTING OUT CONDO;

Exams

• S66 Uniform Combined State Law Examination
  2017-08-15

Designations

• Certified Financial Planner

Other Names

• Chuck Carroll Norfleet
• Charles Norfleet