Douglas R. Sweet
CHARTER ADVISORY
FISHERS, IN 46038
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CRD#: 1791257
Professional summary
Douglas Robert Sweet, CFP®, CLU® is a registered financial advisor currently at CHARTER ADVISORY CORPORATION located in Fishers, Indiana and LPL FINANCIAL LLC located in Fishers, Indiana.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
What is your minimum asset requirement?
1
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) 05/10/2010: No Business Name - DBA for LPL Business (entity for LPL business) - Midwest Financial Group, Inc. - INV REL - At Reported Business Location(s) (2) 06/17/2010: No Business Name - DBA for LPL Business (entity for LPL business) - Midwest Financial Advisors, Inc. - INV REL - At Reported Business Location(s) (3) 08/13/2010: Midwest Financial Group, Inc. - Non-Variable Insurance DBA - Midwest Financial Group, Inc. - INV REL - At Reported Business Location(s) - Fixed Insurance Sales, including term, ul, health, disability, long term care, fixed annuities - 25% Time Spent (4) 9/9/2010 - Charter Advisory Corporation - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 07/2009 - 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 07/2009. 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. (5) 06/22/2016: Pinnacle Realty Investments, LLC - Real Estate Rental - INV REL - Start 01/01/1995 - 9742-9760 Lantern Road Fishers, in 46037 - commercial office buildings - 1 Hr/Mo; 0 During Secs Trdg Hrs - real estate rental
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Robert Sweet'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: 1989
Experience
Current
August 27, 2009 - Present
CHARTER ADVISORY CORPORATION
Office #1: 9752 Lantern Road, Fishers, IN 46038RIA
CRD#: 113390
FISHERS, IN
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 9752 Lantern Road, Fishers, IN 46037RIA
BD
CRD#: 6413
Fishers, IN
Past
December 30, 1999 - October 7, 2009
MIDWEST FINANCIAL ADVISORS, INC.
RIA
CRD#: 122402
FISHERS, IN
Past
February 20, 1991 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
FISHERS, IN
Past
May 2, 1989 - January 22, 1991
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
February 22, 1988 - April 5, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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
Alabama(5/15/2013)
RR
Arizona(11/21/2019)
RR
California(9/8/2009)
RR
Colorado(1/3/2012)
RR
Connecticut(1/22/2025)
RR
Florida(9/8/2009)
RR
Georgia(10/28/2019)
RR
Illinois(9/8/2009)
IAR
Indiana(8/27/2009)
RR
Indiana(9/8/2009)
RR
Iowa(1/3/2012)
RR
Kentucky(10/26/2017)
RR
Maryland(10/8/2020)
RR
Michigan(9/8/2009)
RR
Missouri(8/4/2011)
RR
Nevada(9/8/2009)
RR
New Jersey(9/8/2009)
RR
New York(9/8/2009)
RR
North Carolina(2/16/2016)
RR
Ohio(9/8/2009)
RR
Oklahoma(1/3/2012)
RR
Pennsylvania(3/15/2012)
RR
South Carolina(1/2/2022)
RR
Texas(4/21/2017)
RR
Virginia(1/3/2012)
RR
Wisconsin(9/8/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CHARTER ADVISORY CORPORATION
CRD#: 113390Fishers, IN 46038TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
