Charles R. Sterling
Professional Summary
Charles R. Sterling, who also goes by Pike N/a N/a N/a, is a registered financial advisor currently at DEAFINVEST located in Tysons, Virginia. Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Charles has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pike N/a N/a N/a
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
DEAFINVEST | SCHWARZ FINANCIAL SERVICES LLC | SCHWARZ FINANCIAL CONCEPTS | LOUIS J. SCHWARZ, CFP
Contact Information
Main Address
1775 Tysons Blvd 4th Floor #04160, Tysons, VA 22102Mailing Address
1775 Tysons Blvd Fl 5, Tysons, VA 22102Phone Number
(202) 559-5509# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
68AUM (Assets Under Management)
$14,000,000Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Arizona | ERA - Withdrawn | 10/19/2020 |
| California | ERA - Withdrawn | 10/24/2025 |
| Colorado | ERA - Withdrawn | 6/26/2024 |
| Connecticut | ERA - Withdrawn | 10/24/2025 |
| Delaware | ERA - Withdrawn | 10/24/2025 |
| Hawaii | ERA - Withdrawn | 11/21/2023 |
| Illinois | ERA - Withdrawn | 10/24/2025 |
| Indiana | ERA - Withdrawn | 10/24/2025 |
| Missouri | ERA - Withdrawn | 10/24/2025 |
| Nevada | ERA - Withdrawn | 4/19/2022 |
| New York | ERA - Withdrawn | 10/24/2025 |
| North Carolina | ERA - Withdrawn | 6/11/2025 |
| Ohio | ERA - Withdrawn | 10/24/2025 |
| Oregon | ERA - Withdrawn | 10/24/2025 |
| Pennsylvania | ERA - Withdrawn | 11/21/2023 |
| Texas | ERA - Withdrawn | 10/24/2025 |
| Washington | ERA - Withdrawn | 10/24/2025 |
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
(1/1/2021)
(2/22/2021)
(11/20/2020)
(10/26/2020)
(7/15/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Charles R. Sterling's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
LPL FINANCIAL LLC
HIGHTOWER ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC