CW
Charles K. Wareham
INDEPENDENT FINANCIAL GROUP
Hartford, CT 06103
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CRD#: 2193537
CW
Professional summary
Charles Kenneth Wareham is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Hartford, Connecticut.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.
(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/1992 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: CT INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) WAREHAM & ASSOCIATES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/01/1992 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: 100% OWNER OF THE DBA WAREHAM & ASSOCIATES WHICH ACTS AS A DBA FOR CHARLES WAREHAM AND VALARK FINANCIAL SERVICES, OFFERING INVESTMENT MANAGEMENT, INSURANCE SERVICES AND FINANCIAL CONSULTING (3) VAYLARK FINANCIAL SERVICES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/21/2020 ADDRESS: 750 Main Street, Suite 400, Hartford CT 06103, United States DESCRIPTION: 100% owner of Vaylark Financial Services, consisting of financial consulting & investment management.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Kenneth Wareham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Kenneth Wareham'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
March 14, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 750 Main Street Suite 400, Hartford, CT 06103RIA
BD
CRD#: 7717
Hartford, CT
Current
March 14, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 750 Main Street Suite 400, Hartford, CT 06103RIA
BD
CRD#: 7717
Hartford, CT
Past
November 11, 2005 - March 21, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
HARTFORD, CT
Past
November 11, 2005 - March 21, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
HARTFORD, CT
Past
April 6, 1992 - November 2, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HARTFORD, CT
Past
March 11, 1992 - November 2, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 11, 1992 - November 2, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HARTFORD, CT
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(9/30/2022)
RR
California(9/30/2022)
RR
Connecticut(3/14/2014)
IAR
Connecticut(3/14/2014)
RR
District of Columbia(9/22/2022)
RR
Florida(5/6/2014)
RR
Georgia(6/1/2017)
RR
Illinois(8/22/2025)
RR
Maine(6/16/2014)
RR
Maryland(9/2/2025)
RR
Massachusetts(1/2/2019)
RR
Nevada(9/2/2021)
RR
New Hampshire(5/12/2015)
RR
New Mexico(5/13/2024)
RR
New York(7/17/2019)
RR
North Carolina(5/2/2014)
RR
Ohio(1/23/2024)
RR
Rhode Island(3/14/2014)
RR
South Carolina(11/27/2017)
RR
Tennessee(9/3/2020)
RR
Virginia(4/4/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
