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AC

Allison A. Charles

N.E. PRIVATE CLIENT, LTD
ATTLEBORO, MA 02703
Some features on this profile are disabled
CRD#: 4907014
AC

Professional summary

Allison Anne Charles, who also goes by Allison Anne Riesgo, is a registered financial professional currently at N.E. PRIVATE CLIENT, LTD located in Attleboro, Massachusetts.

Allison is registered as a RR (Registered Representative) and started their career in finance in 2006. Allison has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allison Anne Riesgo

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) - BD

Click below to view Allison Anne Charles's CRS (Customer Relationship Summary).
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

September 23, 2025 - Present

N.E. PRIVATE CLIENT, LTD

Office #1: 89 N Main Street, Attleboro, MA 02703
BD
CRD#: 136058
ATTLEBORO, MA
Past

June 29, 2019 - January 8, 2024

PINNACLE INVESTMENTS, LLC

BD
CRD#: 142910
EAST SYRACUSE, NY
Past

May 16, 2013 - July 10, 2019

ESSEX SECURITIES LLC

BD
CRD#: 46605
JERSEY CITY, NJ
Past

November 20, 2012 - December 31, 2019

GLOBAL INVESTMENT ADVISORS, LLC

RIA
CRD#: 121442
MIAMI BEACH, FL
Past

May 16, 2006 - January 11, 2012

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA

State Registrations and Notice Filings

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

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
Massachusetts
(9/23/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/17/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NP
N.E. PRIVATE CLIENT, LTD
N.E. PRIVATE CLIENT ADVISORS, LTD. | N.E. PRIVATE CLIENT, LTD

CRD#: 136058 / SEC#: , 8-66968

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
89 N Main Street, Attleboro, MA 02703
Mailing Address
89 N Main Street, Attleboro, MA 02703
Phone number
(508) 930-8434
Established
Rhode Island since 08/20/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HANSEN, MARK RICHARDCEO, FINOP, CCO2888137

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.

Company Information

N.E. PRIVATE CLIENT, LTD

CRD#: 136058Attleboro, MA 02703

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