CD
CD
Charles Dear is a registered investment advisor, based in Riverside, CT, with 42 years of industry experience.
Location
15 Wilmot Ln, Riverside, CT, 06878
Get directionsHistory
Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
June 2019Customer Dispute
June 2004Settled
Regulatory
February 2003Final
Customer Dispute
January 2003Pending
Regulatory
September 2002Final
Regulatory
June 2002Final
Regulatory
May 1993Final
Other Business ActivitiesSells Insurance
Charles is an advisory representative of a registered investment advisor and a managing member of Riverside Financial Group LLC. He is also an independent insurance agent and a board member for Greenstage Guilford, dedicating a few hours per week to this non-investment related activity.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
November 2015 - Present · 10 yrs 10 mos
Cambridge Investment Research Advisors, INC.
May 2011 - Present · 15 yrs 4 mos
Previous Registrations
Diastole Wealth Management
February 2003 - April 2011 · 8 yrs 2 mos
Main Street Management CompanyBroker
March 1992 - November 2002 · 10 yrs 8 mos
Titan/value Equities Group, INC.Broker
August 1990 - March 1992 · 1 yr 7 mos
First Investors CorporationBroker
December 1982 - July 1990 · 7 yrs 7 mos
State Registrations24 states
CACOCTFLHIILINMAMDMENCNHNJNVNYORPARISCTXVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.