Charles L. Schlapp
CETERA INVESTMENT ADVISERS LLC
JERICHO, NY 11753
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CRD#: 1667089
Professional summary
Charles Louis Schlapp, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jericho, New York and CETERA WEALTH SERVICES, LLC located in Jericho, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 7 firms and has passed the Series 63, SIE and Series 6 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 02/2019
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE
2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 2/2019
POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES
APX NUMBER OF HOURS PER WEEK: 20-30
APX NUMBER OF HOURS DURING TRADING HOURS: 20-30
BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES
3. NAME OF OTHER BUSINESS: SUPERIOR FINANCIAL MANAGEMENT
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: PENSION PLANNING
START DATE: 1990
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT
APX NUMBER OF HOURS PER WEEK: 1-2
APX NUMBER OF HOURS DURING TRADING HOURS: 1-2
BRIEF DESCRIPTION OF DUTIES: OWNER / PRESIDENT
4. NAME OF OTHER BUSINESS: KIWANIS CLUB OF NORTHPORT - E. NORTHPORT, INC
INVESTMENT RELATED: NO
ADDRESS: P.O. BOX 506, NORTHPORT, NY 11768
NATURE OF BUSINESS: CHARITABLE ORGANIZATION
START DATE: 2007
POSITION/TITLE/RELATIONSHIP: TREASURER
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: 1
BRIEF DESCRIPTION OF DUTIES: ISSUE CHECKS AND MAKE DEPOSITS. BALANCE THE BOOKS. NO CHECK WRITING PRIVILEDGES
5. NAME OF OTHER BUSINESS: SFM ASSOCIATES, INC DBA SUPERIOR FINANCIAL MANAGEMENT;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 1/2010;
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT;
APX NUMBER OF HOURS PER WEEK: 20;
APX NUMBER OF HOURS DURING TRADING HOURS: 20;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, REFERRALS OF TAX RETURN PREPARATION;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Louis Schlapp'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: 1988
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 410 Jericho Tpke Ste 203, Jericho, NY 11753RIA
CRD#: 105644
JERICHO, NY
Current
February 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 410 Jericho Turnpike Ste 203, Jericho, NY 11753BD
CRD#: 13572
Jericho, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 9, 1996 - December 18, 2000
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
June 8, 1992 - December 31, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 1, 1992 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
JERICHO, NY
Past
April 20, 1989 - January 8, 1992
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
August 13, 1987 - February 25, 1989
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Connecticut(2/1/2019)
RR
Florida(2/2/2019)
RR
Massachusetts(1/23/2023)
RR
New York(2/1/2019)
IAR
New York(6/29/2023)
RR
Pennsylvania(1/4/2022)
RR
Virginia(2/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
