Charles J. Mopsik

EVEN KEEL ADVISORS

Saratoga Springs, NY

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CRD#: 5185894

Professional summary

Charles Jerome Mopsik is a registered financial advisor currently at EVEN KEEL ADVISORS located in Saratoga Springs, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Charles has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Charles Jerome Mopsik currently serves on: The Palamountain Scholarship Benefit Executive Planning Committee Saratoga Springs Temple Sinai Board of Trustees Charles Jerome Mopsik is the owner of Nimble Nano Inc., a manufacturer and seller of a line of magnetic aquarium glass cleaners. He devotes less than 10% of his time during trading hours to these activities. Charles Jerome Mopsik is also a Senior Partnership Specialist for Encore Vet Group, based in Saratoga Springs, New York. He devotes approximately 40 hours per week during trading hours to this position.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Jerome Mopsik'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 12, 2021 - Present

EVEN KEEL ADVISORS

RIA

CRD#: 313728

Saratoga Springs, NY

Past

December 13, 2018 - January 29, 2021

CONTINUUM WEALTH ADVISORS, LLC

RIA

CRD#: 152895

SARATOGA SPRINGS, NY

Past

February 20, 2014 - December 31, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

TRUMBULL, CT

Past

February 18, 2014 - December 31, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

TRUMBULL, CT

Past

September 30, 2011 - February 21, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ALBANY, NY

Past

September 30, 2011 - February 21, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ALBANY, NY

Past

August 13, 2009 - November 12, 2009

M HOLDINGS SECURITIES, INC.

CRD#: 43285

SARATOGA SPRINGS, NY

Past

July 3, 2007 - August 28, 2009

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

SARATOGA SPRINGS, NY

Past

February 27, 2007 - May 17, 2007

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

SARATOGA SPRINGS, NY

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

New York
(5/12/2021)

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: 10/27/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/2007

General Securities Representative Examination

Current Firm

EVEN KEEL ADVISORS

EVEN KEEL ADVISORS | EVEN KEEL ADVISORS, LLC

CRD#: 313728 / SEC#:

New York

Registered Investment Advisory firm - (5/12/2021 Approved)

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Contact information

Main Address

Saratoga Springs, NY

Mailing Address

Phone number

(518) 350-4913

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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Charles J. Mopsik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Jerome Mopsik's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVEN KEEL ADVISORS

CONTINUUM WEALTH ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

M HOLDINGS SECURITIES, INC.

PRIME CAPITAL SERVICES, INC.

MERCER ALLIED COMPANY, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2009

SIE

Date: 12/31/2016

Series 7

Date: 2/26/2007

Current Firm

EVEN KEEL ADVISORS

Contact information

Documents

Red Flags

Company Information

EVEN KEEL ADVISORS

TRUST BUT VERIFY

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