Robert S. Malik

CHARTER OAK ASSET MANAGEMENT

Cheshire, CT 06410-1276

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CRD#: 2107893

Professional summary

Robert Stephen Malik is a registered financial advisor currently at CHARTER OAK ASSET MANAGEMENT, INC. located in Cheshire, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 1 firm and has passed the SIE, Series 6 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stephen Malik'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®

None

Experience

Current

June 18, 1987 - Present

CHARTER OAK ASSET MANAGEMENT, INC.

Office #1: 1520 Highland Ave, Cheshire, CT 06410-1276

RIA

CRD#: 27823

Cheshire, CT

Past

January 4, 1993 - February 10, 2020

CHARTER OAK ASSET MANAGEMENT, INC.

CRD#: 27823

CHESHIRE, CT

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
(6/18/1987)

IAR

Florida
(10/25/2011)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/6/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/19/1991

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CHARTER OAK ASSET MANAGEMENT, INC.

BARBA CAPITAL MANAGEMENT, INC. | CHARTER OAK ASSET MANAGEMENT, INC.

CRD#: 27823 / SEC#: 801-29853, 8-43213

RIA

Registered Investment Advisory firm - SEC (7/2/2009 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/23/2009 Approved)

Florida

Registered Investment Advisory firm - SEC (10/25/2011 Approved)

Terminated by SEC on 02/10/2020

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

1520 Highland Ave, Cheshire, CT 06410-1276

Mailing Address

Phone number

203-272-3597 X1

Established

Connecticut since 02/27/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MALIK, ROBERT STEPHEN	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER	2107893

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 66,829,784

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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Robert S. Malik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stephen Malik's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARTER OAK ASSET MANAGEMENT, INC.

CHARTER OAK ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 3/6/1991

Series 26

Date: 9/19/1991

Current Firm

CHARTER OAK ASSET MANAGEMENT, INC.

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CHARTER OAK ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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