Charles M. Robinson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Michael Robinson, who also goes by Charles Mike Robinson, Charles Robinson, Mike Robinson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2022 - June 8, 2022
DEAN CAPITAL MANAGEMENT
May 15, 2013 - October 17, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
August 1, 2012 - February 5, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
June 21, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
January 2, 2009 - July 13, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 23, 2007 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
August 2, 1989 - November 2, 2007
AMERICAN CENTURY INVESTMENT SERVICES INC.
December 15, 1986 - January 24, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 6, 1985 - February 20, 1987
E. F. HUTTON & COMPANY INC
July 21, 1983 - May 8, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
DEAN CAPITAL MANAGEMENT
CRD#: 145666 / SEC#: 801-68942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DEAN CAPITAL MANAGEMENT
CRD#: 145666 / SEC#: 801-68942
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 502 |
| AUM (Assets Under Management) | $ 1,133,464,465 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/23/2024 | ||
| 08/23/2023 | ||
| 02/22/2023 |
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.
