Paula M. Luciani

CHARTER RESEARCH & INVESTMENT GROUP

Southport, CT 06890

Some features on this profile are disabled

CRD#: 1705680

Professional summary

Paula Mastroni Luciani, who also goes by Paula Nicolette Luciani, is a registered financial advisor currently at CHARTER RESEARCH & INVESTMENT GROUP INC located in Southport, Connecticut.

Paula is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Paula has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paula Nicolette Luciani

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.

T.E. LUCIANI, INC. GENERAL CONTRACTOR 108 GREENS FARMS ROAD WESTPORT, CT 06880 VICE PRESIDENT AND SECRETARY START DATE: 1982 20 TO 25 HOURS PER WEEK BUSINESS MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paula Mastroni Luciani'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

October 17, 1990 - Present

CHARTER RESEARCH & INVESTMENT GROUP INC

Office #1: 2507 Post Road, Southport, CT 06890

RIA

CRD#: 106452

Southport, CT

Past

February 15, 1989 - December 1, 2005

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

September 22, 1987 - January 9, 1989

SPERBER ADAMS & COMPANY, INC.

CRD#: 13370

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".

CHARTER RESEARCH & INVESTMENT GROUP INC

CRD#: 106452 / SEC#: 801-37458

RIA

Registered Investment Advisory firm - (9/28/1990 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

Connecticut
(10/17/1990)

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: 10/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Current Firm

CHARTER RESEARCH & INVESTMENT GROUP INC

CRD#: 106452 / SEC#: 801-37458

RIA

Registered Investment Advisory firm - (9/28/1990 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

2507 Post Road, Southport, CT 06890

Mailing Address

Phone number

(203) 259-4004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHARTER RESEARCH & INVESTMENT GROUP ADV PART II (3/28/2025)

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 254,434,269

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paula M. Luciani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paula Mastroni Luciani's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARTER RESEARCH & INVESTMENT GROUP INC

DOMINARI SECURITIES LLC

SPERBER ADAMS & COMPANY, INC.

Primary Firm SEC Registration

CHARTER RESEARCH & INVESTMENT GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/1987

Series 7

Date: 9/19/1987

Current Firm

CHARTER RESEARCH & INVESTMENT GROUP INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHARTER RESEARCH & INVESTMENT GROUP INC

TRUST BUT VERIFY

Contact information

Similar Advisors