Charles Wareham
Charles Wareham is a registered investment advisor at Independent Financial Group, LLC, based in Hartford, CT, with 34 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
750 Main Street, Suite 400, Hartford, CT, 06103
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2024Customer Dispute
February 2004Customer Dispute
September 2003Other Business ActivitiesSells Insurance
Charles is a Connecticut insurance agent offering various types of insurance products, dedicating nearly full-time hours to this. He also owns Wareham & Associates and Vaylark Financial Services, DBAs for marketing purposes, offering investment management, insurance services, and financial consulting; he spends a few hours per week on Wareham & Associates and nearly full-time on Vaylark Financial Services.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations18 states
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.