Charles J. Doran

PROMETHEUS INVESTMENT ADVISORS LLC

Greenwich, CT

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CRD#: 5165351

Professional summary

Charles Joseph Doran, who also goes by Charles J Doran, is a registered financial advisor currently at PROMETHEUS INVESTMENT ADVISORS LLC located in Greenwich, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Charles has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles J Doran

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) - RIA

Click below to view Charles Joseph Doran'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

May 4, 2018 - Present

PROMETHEUS INVESTMENT ADVISORS LLC

RIA

CRD#: 291229

Greenwich, CT

Past

May 1, 2015 - May 8, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

STAMFORD, CT

Past

May 1, 2015 - May 8, 2018

QUESTAR CAPITAL CORPORATION

CRD#: 43100

STAMFORD, CT

Past

January 20, 2010 - May 4, 2015

SPC

RIA

CRD#: 110692

STAMFORD, CT

Past

April 1, 2009 - May 4, 2015

PARKLAND SECURITIES, LLC

CRD#: 115368

STAMFORD, CT

Past

March 18, 2008 - December 17, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WESTPORT, CT

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

Colorado
(11/27/2018)

IAR

Connecticut
(5/8/2018)

IAR

Louisiana
(12/14/2020)

IAR

Maine
(4/8/2021)

IAR

Texas
(5/4/2018)

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 65

Date: 3/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2008

General Securities Representative Examination

Current Firm

PROMETHEUS INVESTMENT ADVISORS LLC

CRD#: 291229 / SEC#: 801-112947

RIA

Registered Investment Advisory firm - (7/22/2019 Terminated)

Colorado

Registered Investment Advisory firm - (7/19/2019 Approved)

Connecticut

Registered Investment Advisory firm - (2/20/2019 Approved)

Louisiana

Registered Investment Advisory firm - (12/14/2020 Approved)

Maine

Registered Investment Advisory firm - (4/8/2021 Approved)

Texas

Registered Investment Advisory firm - (12/3/2018 Conditional Restricted)

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

Greenwich, CT

Mailing Address

Phone number

(203) 561-6588

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 21,586,746

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

Charles J. Doran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Joseph Doran's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROMETHEUS INVESTMENT ADVISORS LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

SPC

PARKLAND SECURITIES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2021

Series 66

Date: 3/24/2008

SIE

Date: 5/8/2018

Series 7

Date: 3/17/2008

Current Firm

PROMETHEUS INVESTMENT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROMETHEUS INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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