Charles J. Fisher

CHUCK FISHER

PALATINE, IL

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CRD#: 2370930

Professional summary

Charles Julian Fisher III, who also goes by Chuck Fisher III, Chuck Fisher, is a registered financial advisor currently at CHUCK FISHER located in Palatine, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Fisher Iii | Chuck Fisher

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. THE INVESTORS GROUP, INC., INVESTMENT RELATED, 727 N. FRANKLIN AVE, PALATINE, IL 60067, REGISTERED INVESTMENT ADVISOR & INSURANCE AGENCY, PRESIDENT & INVESTMENT ADVISOR & AGENT. STARTED 9/1993. 120 HRS/MONTH, ADVISING CLIENTS ABOUT THEIR INVESTMENTS & SELLING LIFE & HEALTH INSURANCE. 2) DO IT RIGHT TRAVEL, NOT INVESTMENT RELATED, 727 N. FRANKLIN AVE, PALATINE, IL 60067, TRAVEL AGENT, PRESIDENT & AGENT. STARTED 1/2004. 2HRS./MONTH. SELLING TRAVEL TO FRIENDS & RELATIVES & MYSELF.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Julian Fisher III'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

August 28, 2003 - Present

CHUCK FISHER

RIA

CRD#: 126730

PALATINE, IL

Past

May 22, 2007 - January 4, 2010

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

JACKSON, TN

Past

July 23, 2003 - November 13, 2003

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

PALATINE, IL

Past

July 23, 2003 - February 28, 2007

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

March 31, 2003 - August 5, 2003

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

PALATINE, IL

Past

March 31, 2003 - August 5, 2003

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

February 8, 2002 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

RIA

CRD#: 2864

PALATINE, IL

Past

January 23, 2002 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

August 16, 2001 - January 25, 2002

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

June 13, 1995 - August 15, 2001

RE-DIRECT SECURITIES CORP

CRD#: 35518

VILLA PARK, IL

Past

October 28, 1994 - July 17, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 28, 1994 - July 17, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 8, 1993 - October 24, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 19, 1993 - November 3, 1993

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

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

Illinois
(8/28/2003)

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 66

Date: 5/23/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1993

General Securities Representative Examination

Current Firm

CHUCK FISHER

CHUCK FISHER | THE INVESTORS GROUP, INC. | THE INVESTORS GR0UP, INC. | CHUCK FISHER CSA, CEA

CRD#: 126730 / SEC#:

Illinois

Registered Investment Advisory firm - (8/28/2003 Approved)

Indiana

Registered Investment Advisory firm - (12/31/2012 Terminated)

Ohio

Registered Investment Advisory firm - (12/31/2012 Terminated)

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

Palatine, IL

Mailing Address

Phone number

(847) 963-9555

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Charles J. Fisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Julian Fisher III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

INVESTORS CAPITAL CORP.

RE-DIRECT SECURITIES CORP

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

CETERA WEALTH SERVICES, LLC

MARINER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2001

Series 63

Date: 9/23/1993

Series 7

Date: 8/18/1993

Current Firm

CHUCK FISHER

Contact information

Documents

Red Flags

Company Information

CHUCK FISHER

TRUST BUT VERIFY

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