Charles Louis Schlapp

Current Employers

Employment History

• 08/1986 → Present
  Home Life
  New York, NY
• 11/1988 → Present
  Dfm Associates
  Great Neck, NY
• 11/1988 → Present
  Diversified Financial Management
  Great Neck, NY
• 12/1991 → 02/2019
  North Ridge Securities Corp.
  Hauppauge, NY
• 08/1992 → Present
  National Life Of Vermont
  Montpelier, UT
• 12/1996 → Present
  Equity Services, Inc.
  New York, NY
• 02/2019 → Present
  Cetera Wealth Services, Llc
  Jericho, NY
• 01/1990 → Present
  Superior Financial Management
  Jericho, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

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 START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: SUPERIOR FINANCIAL MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PENSION PLANNING START DATE: 1990 POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT APX NUMBER OF HOURS PER WEEK: 1-2 APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 BRIEF DESCRIPTION OF DUTIES: OWNER / PRESIDENT 4. NAME OF OTHER BUSINESS: KIWANIS CLUB OF NORTHPORT - E. NORTHPORT, INC INVESTMENT RELATED: NO ADDRESS: P.O. BOX 506, NORTHPORT, NY 11768 NATURE OF BUSINESS: CHARITABLE ORGANIZATION START DATE: 2007 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ISSUE CHECKS AND MAKE DEPOSITS. BALANCE THE BOOKS. NO CHECK WRITING PRIVILEDGES 5. NAME OF OTHER BUSINESS: SFM ASSOCIATES, INC DBA SUPERIOR FINANCIAL MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2010; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, REFERRALS OF TAX RETURN PREPARATION;

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-07-21

Designations