KC
Katy M. Carr
CHARTER OAK CAPITAL MANAGEMENT
Portsmouth, NH 03801
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CRD#: 4494146
KC
Professional summary
Katy Morrison Carr, who also goes by Katy Rhodes Carr, Katy Rhodes Morrison, is a registered financial advisor currently at CHARTER OAK CAPITAL MANAGEMENT located in Portsmouth, New Hampshire.
Katy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Katy has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katy Rhodes Carr | Katy Rhodes Morrison
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) Make a Wish of Maine - Non-Investment Related Business - 66 Mussey Road, Scarborough, ME 04074, Committee Member/Development Committee - 09/19/2016 Start - 4 hours/month - 0 hours during securities trading hours. Meet to discuss development in York County for Make a Wish. No compensation received only volunteering
CRS (Client Relationship Summary) - RIA
Click below to view Katy Morrison Carr'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
June 3, 2016 - Present
CHARTER OAK CAPITAL MANAGEMENT
Office #1: Two International Drive Suite 325, Portsmouth, NH 03801Office #2: 62 Portland Road Suite 37, Kennebunk, ME 04043RIA
CRD#: 120870
Portsmouth, NH
Past
July 25, 2016 - December 31, 2022
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PORTSMOUTH, NH
Past
May 22, 2013 - May 9, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
YORK, ME
Past
May 21, 2013 - May 9, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
YORK, ME
Past
January 1, 2008 - May 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PORTSMOUTH, NH
Past
January 1, 2008 - May 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PORTSMOUTH, NH
Past
December 13, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PORTSMOUTH, NH
Past
January 29, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PORTSMOUTH, NH
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".
CO
CHARTER OAK CAPITAL MANAGEMENT
CHARTER OAK CAPITAL MANAGEMENT | TROIANO AND ASSOCIATES, INC. | TROIANO AND ASSOCIATES | TROIANAO AND ASSOCIATES | TODD MICHAEL CESCA | JEFFREY SCOTT TROIANO | GEORGE THURLOW | CHARTER OAK CAPITAL MANAGEMENT, LLC
CRD#: 120870 / SEC#: 801-64808
RIA
Registered Investment Advisory firm - (11/2/2005 Approved)Maine
Registered Investment Advisory firm - (12/31/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (3/21/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2005 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.Highlighted states indicate IAR registrations
IAR
Maine(6/3/2016)
IAR
New Hampshire(6/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CO
CHARTER OAK CAPITAL MANAGEMENT
CHARTER OAK CAPITAL MANAGEMENT | TROIANO AND ASSOCIATES, INC. | TROIANO AND ASSOCIATES | TROIANAO AND ASSOCIATES | TODD MICHAEL CESCA | JEFFREY SCOTT TROIANO | GEORGE THURLOW | CHARTER OAK CAPITAL MANAGEMENT, LLC
CRD#: 120870 / SEC#: 801-64808
RIA
Registered Investment Advisory firm - (11/2/2005 Approved)Maine
Registered Investment Advisory firm - (12/31/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (3/21/2006 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Two International Drive Suite 325, Portsmouth, NH 03801
Mailing Address
Phone number
(800) 646-5720
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,359 |
| AUM (Assets Under Management) | $ 1,419,829,350 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 |
Red Flags
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Company Information
CHARTER OAK CAPITAL MANAGEMENT
CRD#: 120870Portsmouth, NH 03801TRUST BUT VERIFY
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