Charles T. Shearman

PROSPERO FINANCIAL PLANNING

FISHERS, IN 46038

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CRD#: 2101155

Professional summary

Charles Thomas Shearman, CFP®, who also goes by Charles Shearman, is a registered financial advisor currently at PROSPERO FINANCIAL PLANNING, LLC located in Fishers, Indiana.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 1 firm and has passed the Series 65 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Shearman

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) - RIA

Click below to view Charles Thomas Shearman'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^®

Certified Financial Planner

Start date: 1987

Experience

Current

January 6, 2009 - Present

PROSPERO FINANCIAL PLANNING, LLC

Office #1: 11988 Fishers Crossing Drive Suite 200, Fishers, IN 46038

RIA

CRD#: 113046

FISHERS, IN

Past

February 13, 2002 - December 31, 2008

PROSPERO FINANCIAL PLANNING, LLC

RIA

CRD#: 113046

INDIANAPOLIS, IN

Past

June 14, 2001 - December 31, 2002

PROSPERO FINANCIAL PLANNING, LLC

RIA

CRD#: 113046

INDIANAPOLIS, IN

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

Indiana
(3/27/2009)

IAR

Texas
(1/6/2009)

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

IAR

Series 65

Date: 9/25/1990

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 6/8/1995

Non-Member General Securities Examination

Current Firm

PROSPERO FINANCIAL PLANNING, LLC

CASTLE ADVISORY GROUP, L.L.C. | PROSPERO FINANCIAL PLANNING, LLC | CASTLE ADVISORY GROUP, LLC

CRD#: 113046 / SEC#: 801-60332

RIA

Registered Investment Advisory firm - (3/27/2009 Terminated)

Indiana

Registered Investment Advisory firm - (3/26/2009 Approved)

Texas

Registered Investment Advisory firm - (1/6/2009 Conditional Restricted)

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).

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Contact information

Main Address

23 South 8th Street Suite 3400, Noblesville, IN 46060-2605

Mailing Address

Phone number

(317) 409-4739

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 4,499,085

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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Charles T. Shearman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Thomas Shearman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPERO FINANCIAL PLANNING, LLC

PROSPERO FINANCIAL PLANNING, LLC

PROSPERO FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1990

Series 2

Date: 6/8/1995

Current Firm

PROSPERO FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROSPERO FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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