Charles W. Ransom

RANSOM ADVISORY

Providence, RI 02906

Some features on this profile are disabled

CRD#: 1186774

Professional summary

Charles Winship Ransom is a registered financial advisor currently at RANSOM ADVISORY located in Providence, Rhode Island.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Charles has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Charles Ransom holds a position on the board of the RISPCA as Treasurer. The RISPCA is a client of Compton Capital for which Charles is the investment advisor. The RISPCA, located at 186 Amaral Street, East Providence, RI 02915, is a nonprofit organization charged with the sole purpose of protecting animal life in all situations that might endanger them. Charles has been on the board as Treasurer since 2002 and attends periodic meetings and devotes two hours per quarter. Charles Ransom is also Vice President of the Meehan Fund located at 9 Meeting St., Providence, Rhode Island 02903. He spends approximately 30 hours per month involved in this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Winship Ransom'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®

None

Experience

Current

March 14, 2022 - Present

RANSOM ADVISORY

Office #1: 326 Taber Ave, Providence, RI 02906

RIA

CRD#: 318747

Providence, RI

Past

October 12, 2004 - August 29, 2022

COMPTON CAPITAL MANAGEMENT INC

RIA

CRD#: 107002

PROVIDENCE, RI

Past

August 15, 1991 - April 13, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 13, 1986 - August 12, 1991

OLD STONE SECURITIES COMPANY

CRD#: 15665

EAST PROVIDENCE, RI

Past

September 23, 1983 - May 23, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

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".

RANSOM ADVISORY

RANSOM ADVISORY | RANSOM ADVISORY, LTD

CRD#: 318747 / SEC#: 801-123386

RIA

Registered Investment Advisory firm - (3/10/2022 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

Florida
(8/29/2025)

IAR

Massachusetts
(7/18/2023)

IAR

Rhode Island
(3/14/2022)

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

Series 63

Date: 9/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

RANSOM ADVISORY

RANSOM ADVISORY | RANSOM ADVISORY, LTD

CRD#: 318747 / SEC#: 801-123386

RIA

Registered Investment Advisory firm - (3/10/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

326 Taber Ave, Providence, RI 02906

Mailing Address

P.o. Box 2665, Providence, RI 02906

Phone number

(401) 601-0185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (2/26/2025)

Regulatory assets under management

Total Number of Accounts	267
AUM (Assets Under Management)	$ 265,484,625

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.

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles W. Ransom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Winship Ransom's CRS (Customer Relationship Summary).

Certified licenses

Experience

RANSOM ADVISORY

COMPTON CAPITAL MANAGEMENT INC

GUARDIAN INVESTOR SERVICES LLC

OLD STONE SECURITIES COMPANY

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

RANSOM ADVISORY

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/1983

Series 7

Date: 9/17/1983

Current Firm

RANSOM ADVISORY

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RANSOM ADVISORY

TRUST BUT VERIFY

Similar Advisors