SN
Sina M. Nowak
CHARTER ADVISORY
INDIANAPOLIS, IN 46240
Some features on this profile are disabled
CRD#: 2135748
SN
Professional summary
Sina Mary Nowak, who also goes by Sina Mary James, Sina James, Sina Mary Willis, is a registered financial advisor currently at CHARTER ADVISORY CORPORATION located in Indianapolis, Indiana and LPL FINANCIAL LLC located in Lake Worth, Florida.
Sina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sina has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sina Mary James | Sina James | Sina Mary Willis
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. 06/24/15-NOWAK FINANCIAL SERVICES, LLC/BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY/NAME FOR TAX PURPOSES ONLY./8527 YEARLING DRIVE, LAKE WORTH, FL 33467
2. 06/24/15-REAL ESTATE AGENT/MORTGAGE/REAL ESTATE SERVICES/1. LICENSED REAL ESTATE SALES ASSOCIATE 2. RES 3. Y 3.A SL3234574 4. RESIDENTIAL REAL ESTATE SALES 5. Y/1%/8527 YEARLING DRIVE, LAKE WORTH, FL 33467
3. 06/24/15-DEPENDABLE LAWN SERVICE, INC/SECRETARY/OTHER/1%/LAKE WORTH,FL
4. 03/29/2016 * Charter Advisory Corporation * Registered Investment Advisor Hybrid * (Hybrid) Charter Advisory Corporation * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 06/02/2015 * Compliance staff; licensed IAR - 1) on file 2) no 3) yes
5. 6/18/2019 - OSJ Alliance, LLC - Investment Related - 8527 Yearling Dive, Lake Worth, FL 33467 - Other-OSJ Alliance - Started 06/01/2016 - 160 Hours Per Month During Securities Trading - Contract employee paid by OSJ alliance. Mike Kelley, and Peter Beronio, are the owners.
CRS (Client Relationship Summary) - RIA
Click below to view Sina Mary Nowak'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
July 9, 2015 - Present
CHARTER ADVISORY CORPORATION
Office #1: 250 East 96th Street Suite 200, Indianapolis, IN 46240RIA
CRD#: 113390
INDIANAPOLIS, IN
Current
June 24, 2015 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
LAKE WORTH, FL
Past
October 24, 2011 - June 3, 2015
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past
October 5, 2011 - June 3, 2015
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
March 18, 2011 - October 12, 2011
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
PALM BEACH GARDENS, FL
Past
March 4, 2011 - October 7, 2011
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
October 8, 2007 - October 13, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
BOSTON, MA
Past
October 2, 2007 - October 13, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
April 6, 2004 - June 16, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BOCA RATON, FL
Past
January 22, 2003 - June 16, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BOCA RATON, FL
Past
May 1, 2002 - November 8, 2002
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
September 21, 1999 - March 30, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 16, 1998 - September 16, 1999
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
July 11, 1997 - January 13, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 14, 1995 - July 11, 1997
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
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(7/6/2015)
RR
Alaska(6/29/2015)
RR
Arizona(7/14/2015)
RR
Arkansas(6/30/2015)
RR
California(6/24/2015)
RR
Colorado(6/25/2015)
RR
Connecticut(6/24/2015)
RR
Delaware(6/29/2015)
RR
District of Columbia(6/29/2015)
RR
Florida(6/26/2015)
RR
Georgia(7/6/2015)
RR
Hawaii(7/10/2015)
RR
Idaho(6/24/2015)
RR
Illinois(6/24/2015)
RR
Indiana(6/29/2015)
IAR
Indiana(7/9/2015)
RR
Iowa(6/29/2015)
RR
Kansas(7/6/2015)
RR
Kentucky(6/29/2015)
RR
Louisiana(7/14/2015)
RR
Maine(6/25/2015)
RR
Maryland(6/29/2015)
RR
Massachusetts(6/25/2015)
RR
Michigan(6/29/2015)
RR
Minnesota(6/30/2015)
RR
Mississippi(7/15/2015)
RR
Missouri(6/24/2015)
RR
Montana(6/24/2015)
RR
Nebraska(6/24/2015)
RR
Nevada(7/9/2015)
RR
New Hampshire(6/25/2015)
RR
New Jersey(6/29/2015)
RR
New Mexico(6/29/2015)
RR
New York(7/3/2015)
RR
North Carolina(6/25/2015)
RR
North Dakota(6/25/2015)
RR
Ohio(6/24/2015)
RR
Oklahoma(6/30/2015)
RR
Oregon(7/21/2015)
RR
Pennsylvania(6/25/2015)
RR
Puerto Rico(7/7/2015)
RR
Rhode Island(6/24/2015)
RR
South Carolina(7/6/2015)
RR
South Dakota(6/30/2015)
RR
Tennessee(7/1/2015)
RR
Texas(6/25/2015)
RR
Utah(6/25/2015)
RR
Vermont(6/29/2015)
RR
Virgin Islands(6/30/2015)
RR
Virginia(6/25/2015)
RR
Washington(7/1/2015)
RR
West Virginia(7/2/2015)
RR
Wisconsin(6/24/2015)
RR
Wyoming(6/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
