Charlotte A. Pakan

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CRD#: 1583237

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.

Charlotte Ann Pakan, who also goes by Charlotte A Pakan, Charlotte Ann Pakan-poole, was a registered financial professional .

Charlotte is a previously registered financial professional and started their career in finance in 1987. Charlotte had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlotte A Pakan | Charlotte Ann Pakan-Poole

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®

None

Experience

Past

September 9, 2011 - December 17, 2012

THE MARSHALL FINANCIAL GROUP, INC

RIA

CRD#: 110935

DOYLESTOWN, PA

Past

July 11, 2006 - August 21, 2008

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

KING OF PRUSSIA, PA

Past

January 2, 2001 - August 24, 2004

TRIAD ADVISORS LLC

CRD#: 25803

NORCROSS, GA

Past

December 7, 1999 - May 10, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 7, 1999 - May 10, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 17, 1994 - August 2, 1994

PNC BROKERAGE CORP

CRD#: 34671

Past

November 30, 1992 - September 17, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Past

June 9, 1987 - January 4, 1991

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

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".

THE MARSHALL FINANCIAL GROUP, INC

CRD#: 110935 / SEC#: 801-62319

RIA

Registered Investment Advisory firm - (8/29/2003 Approved)

California

Registered Investment Advisory firm - (9/25/2003 Terminated)

Connecticut

Registered Investment Advisory firm - (8/29/2003 Terminated)

Florida

Registered Investment Advisory firm - (9/25/2003 Terminated)

Maryland

Registered Investment Advisory firm - (9/25/2003 Terminated)

New York

Registered Investment Advisory firm - (9/25/2003 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/24/2003 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 10/22/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/3/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE MARSHALL FINANCIAL GROUP, INC

CRD#: 110935 / SEC#: 801-62319

RIA

Registered Investment Advisory firm - (8/29/2003 Approved)

California

Registered Investment Advisory firm - (9/25/2003 Terminated)

Connecticut

Registered Investment Advisory firm - (8/29/2003 Terminated)

Florida

Registered Investment Advisory firm - (9/25/2003 Terminated)

Maryland

Registered Investment Advisory firm - (9/25/2003 Terminated)

New York

Registered Investment Advisory firm - (9/25/2003 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/24/2003 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2003 Terminated)

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Contact information

Main Address

33 West Court Street, Doylestown, PA 18901

Mailing Address

Phone number

(215) 348-9393

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR THE MARSHALL FINANCIAL GROUP, INC. (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,579
AUM (Assets Under Management)	$ 866,412,770

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/12/2025	Cover Page	Report
09/06/2024	Cover Page	Report
04/09/2024	Cover Page	Report
01/19/2023	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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Firm Stability Insights

Charlotte A. Pakan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

TRIAD ADVISORS LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PNC BROKERAGE CORP

AVANTAX INVESTMENT SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

THE MARSHALL FINANCIAL GROUP, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1999

Series 65

Date: 4/3/1996

Series 7

Date: 12/2/1999

Series 6

Date: 11/6/1986

Current Firm

THE MARSHALL FINANCIAL GROUP, INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE MARSHALL FINANCIAL GROUP, INC

TRUST BUT VERIFY

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