Charles L. Rizzo

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CRD#: 1123363

Professional summary

Charles Louis Rizzo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Charles had worked at 12 firms, which includes FAIRHAVEN WEALTH MANAGEMENT LLC, AMERICAN PORTFOLIOS ADVISORS INC, RH FINANCIAL GROUP LLC, AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., QUESTAR CAPITAL CORPORATION, RESULTS ONE FINANCIAL LLC, WATERSTONE FINANCIAL GROUP INC., CETERA FINANCIAL SPECIALISTS LLC, INTEGRATED RESOURCES EQUITY CORPORATION, FSC SECURITIES CORPORATION, MUTUAL SERVICE CORPORATION, ANCHOR NATIONAL FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Rizzo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2016 - February 22, 2016

FAIRHAVEN WEALTH MANAGEMENT, LLC

RIA

CRD#: 173771

OAK BROOK, IL

Past

April 5, 2012 - December 31, 2014

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

January 27, 2010 - December 31, 2015

RH FINANCIAL GROUP, LLC

RIA

CRD#: 152830

OAK BROOK, IL

Past

June 30, 2009 - February 19, 2015

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

OAK BROOK, IL

Past

September 29, 2006 - July 23, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ELMHURST, IL

Past

December 5, 2000 - March 31, 2010

RESULTS ONE FINANCIAL, LLC

RIA

CRD#: 109269

ELMHURST, IL

Past

November 13, 1997 - October 2, 2006

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

ELMHURST, IL

Past

December 18, 1996 - November 10, 1997

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

May 3, 1988 - August 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 2, 1988 - May 13, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

June 7, 1983 - December 31, 1987

MUTUAL SERVICE CORPORATION

CRD#: 4806

Past

April 19, 1983 - February 6, 1984

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

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".

FAIRHAVEN WEALTH MANAGEMENT, LLC

CRD#: 173771 / SEC#: 801-80596

RIA

Registered Investment Advisory firm - (12/17/2014 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/31/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/1997

General Securities Principal Examination

Current Firm

FAIRHAVEN WEALTH MANAGEMENT, LLC

CRD#: 173771 / SEC#: 801-80596

RIA

Registered Investment Advisory firm - (12/17/2014 Approved)

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Contact information

Main Address

104 E. Roosevelt Road Suite 100, Wheaton, IL 60187

Mailing Address

Phone number

(630) 333-9207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAIRHAVEN WEALTH PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	1,576
AUM (Assets Under Management)	$ 783,193,210

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
10/27/2023	Cover Page	Report
07/28/2022	Cover Page	Report

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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Charles L. Rizzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS ADVISORS, INC

RH FINANCIAL GROUP, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

RESULTS ONE FINANCIAL, LLC

WATERSTONE FINANCIAL GROUP, INC.

CETERA FINANCIAL SPECIALISTS LLC

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FAIRHAVEN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2012

Series 63

Date: 1/7/1997

SIE

Date: 2/19/2015

Series 7

Date: 12/17/1996

Series 24

Date: 7/23/1997

Current Firm

FAIRHAVEN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FAIRHAVEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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