Charles K. Caddick

PROCYON

Shelton, CT 06484

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CRD#: 1062831

Professional summary

Charles Kevin Caddick, CFP®, who also goes by Kevin Caddick, is a registered financial advisor currently at PROCYON located in Shelton, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Charles has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Caddick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Kevin Caddick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

September 10, 2021 - Present

PROCYON

Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484

RIA

CRD#: 288239

Shelton, CT

Past

May 3, 1999 - November 28, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

WOODBURY, NY

Past

June 22, 1995 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

February 17, 1994 - June 5, 1995

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

October 4, 1983 - November 21, 1984

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

October 4, 1983 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

October 4, 1983 - February 17, 1994

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Charles K. Caddick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Kevin Caddick's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

PMG SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

HOME LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/1999

Series 63

Date: 12/3/1984

Series 7

Date: 8/18/1984

Series 6

Date: 10/3/1983

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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