CG
Charles E. Gilligan
FINANCIAL TRANSPARENCY
Sun Lakes, AZ
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CRD#: 1910217
CG
Professional summary
Charles Edward Gilligan, who also goes by Charlie Gilligan, is a registered financial advisor currently at FINANCIAL TRANSPARENCY located in Sun Lakes, Arizona.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Charles has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie Gilligan
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.
PARAGON CONSULTING GROUP, INVESTMENT RELATED, 32590 E Penedes Drive Gilbert AZ 85298, FINANCIAL SERVICES, OWNER, 9/25/10, MANAGERIAL AND SERVICING CLIENTS;
Charlie Gilligan, non investment related, 2590 E Penedes Drive Gilbert AZ 85298, Tax preparer, Owner, 2-2-15, 16 hrs/month, prepare personal tax returns.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Edward Gilligan'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®
NoneExperience
Current
October 22, 2018 - Present
FINANCIAL TRANSPARENCY
RIA
CRD#: 297713
Sun Lakes, AZ
Past
March 21, 2007 - August 13, 2018
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
Gilbert, AZ
Past
February 4, 2003 - September 4, 2018
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
GILBERT, AZ
Past
January 8, 2003 - March 21, 2007
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
SPOKANE, WA
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".
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 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
Arizona(10/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Greensboro, NC
Mailing Address
Phone number
(336) 715-3300
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 306,343,419 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 11/27/2024 | ||
| 02/27/2024 | ||
| 04/28/2023 |
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.
