Lauren E. Toll

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CRD#: 447737

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lauren Ervin Toll was a registered financial professional .

Lauren is a previously registered financial professional and started their career in finance in 1967. Lauren had worked at 8 firms and has passed the Series 63, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 1994 - December 2, 2013

CHARTER CAPITAL MANAGEMENT, INC.

RIA

CRD#: 35919

WAUWATOSA, WI

Past

June 22, 1994 - December 2, 2013

CHARTER CAPITAL MANAGEMENT, INC.

CRD#: 35919

WAUWATOSA, WI

Past

July 6, 1992 - October 21, 1992

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 12, 1974 - April 15, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

June 15, 1974 - June 10, 1975

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

Past

July 18, 1973 - February 14, 1984

ILG SECURITIES CORPORATION

CRD#: 422

Past

January 17, 1973 - September 3, 1974

USLIFE EQUITY SALES CORP

CRD#: 6815

Past

October 11, 1972 - August 20, 1974

HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY

CRD#: 4291

Past

March 2, 1967 - January 10, 1973

PHILIPS SECURITIES, INC.

CRD#: 4409

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".

CHARTER CAPITAL MANAGEMENT, INC.

CHARTER CAPITAL MANAGEMENT, INC | CHARTER CAPITAL MANAGEMENT, LLC | CHARTER CAPITAL MANAGEMENT, INC.

CRD#: 35919 / SEC#: 801-16127, 8-46927

RIA

Registered Investment Advisory firm - SEC (5/1/1981 Approved)

Terminated by SEC on 12/13/2016

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 3/1/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/5/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CHARTER CAPITAL MANAGEMENT, INC.

CHARTER CAPITAL MANAGEMENT, INC | CHARTER CAPITAL MANAGEMENT, LLC | CHARTER CAPITAL MANAGEMENT, INC.

CRD#: 35919 / SEC#: 801-16127, 8-46927

RIA

Registered Investment Advisory firm - SEC (5/1/1981 Approved)

Terminated by SEC on 12/13/2016

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Contact information

Main Address

13805 W Burleigh Road Suite 100, Brookfield, WI 53005

Mailing Address

Phone number

(414) 257-3700

Established

Wisconsin since 01/12/1981

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (4/28/2025)

Direct owners and executive officers

Name	Position	CRD#
GLASER, DANIEL RICHARD	REGISTERED PRINCIPAL	2750930
HASSLER, JOEL T	CHIEF COMPLIANCE OFFICER, PRESIDENT	2222541

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 411,737,769

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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Firm Stability Insights

Lauren E. Toll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARTER CAPITAL MANAGEMENT, INC.

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

ILG SECURITIES CORPORATION

USLIFE EQUITY SALES CORP

HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY

PHILIPS SECURITIES, INC.

Primary Firm SEC Registration

CHARTER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1992

Series 1

Date: 3/1/1967

Series 26

Date: 5/5/1994

Current Firm

CHARTER CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CHARTER CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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