David G. Yearwood
CHARTER ADVISORY
INDIANAPOLIS, IN 46240
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CRD#: 1510847
Professional summary
David George Yearwood, CFP® is a registered financial advisor currently at CHARTER ADVISORY CORPORATION located in Indianapolis, Indiana and LPL FINANCIAL LLC located in Indianapolis, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Education Planning
Insurance Planning
Retirement Planning
Investment Planning
Estate Planning
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.
1. 12/30/2009 - CHARTER INSURANCE & CHARTER ADVISORY CORPORATION - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - AGENT - V.P. - TRADITIONAL LIFE,HEALTH,DISABILTY,LONGTERM CARE, COLLEGE PLANNING & ANNUITIES SALES. INSURANCE SALES & PLANNING SERVICES. 2. 9/9/2010 - Charter Advisory Corporation - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 06/1987 - 32 Hours Per Month/Time Spent 20% - I provide investment advisory services through Charter Advisory Corporation, an independent investment advisor firm. I started this business activity in 06/1987. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 9/24/2013 - CHARTER ADVISORY CORPORATION - INV REL - AT REPORTED BUSINESS LOCATION - DBA for LPL Business (entity for LPL business). 4. 06/15/2016 - Michael Stafford Publishing, LLC - Business Entity For Tax/Investment Purposes Only - NOT INV REL - START 07/01/2016 - 1620 Locust Lane, Brownsburg, In 46112 - Invest in authors launch and marketing of a political fiction novel. Revenues to be driven by book sales. - 0 HR/MO - Business Entity For Tax/Investment Purposes Only. 5. 11/02/2022 - CHARTER ADVISORY CORPORATION - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 09/09/2010 - 1 Hours Per Month/1 Hours During Securities Trading - I provide investment advisory services through CHARTER ADVISORY CORPORATION, an independent investment advisor firm. I started this business activity in 09/2010. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view David George Yearwood's 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®
Start date: 1992
Experience
Current
September 30, 1999 - Present
CHARTER ADVISORY CORPORATION
Office #1: 250 E. 96th Street Suite 200, Indianapolis, IN 46240RIA
CRD#: 113390
INDIANAPOLIS, IN
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 250 E 96th St, #200, Indianapolis, IN 46240RIA
BD
CRD#: 6413
INDIANAPOLIS, IN
Past
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
INDIANAPOLIS, IN
Past
August 21, 1986 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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".
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/23/2015)
RR
Colorado(9/8/2009)
RR
Florida(9/8/2009)
RR
Illinois(9/8/2009)
IAR
Indiana(9/30/1999)
RR
Indiana(9/8/2009)
RR
Michigan(6/13/2025)
RR
Nebraska(8/23/2018)
RR
Nevada(8/9/2021)
RR
New York(9/8/2009)
RR
North Carolina(4/26/2012)
RR
Ohio(6/3/2011)
RR
Pennsylvania(9/8/2009)
RR
South Carolina(5/21/2024)
RR
Virginia(7/5/2016)
RR
Wisconsin(1/6/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
250 E. 96th Street Suite 200, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 844-7416
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 366,305,467 |
Red Flags
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