CS
Charles R. Sterling
DEAFINVEST
Tysons, VA 22102
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CRD#: 5535903
CS
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pike N/a N/a N/a
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.
Conducting tax preparation, tax consulting, and bookkeeping for clients as a staff of DeafTax LLC for up to about 20 hours a week since January 2008.
CRS (Client Relationship Summary) - RIA
Click below to view Charles R. Sterling'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
July 15, 2020 - Present
DEAFINVEST
Office #1: 1775 Tysons Blvd 4th Floor #04160, Tysons, VA 22102RIA
CRD#: 117485
Tysons, VA
Past
August 16, 2019 - November 11, 2019
CETERA ADVISORS LLC
RIA
CRD#: 10299
FALLS CHURCH, VA
Past
October 3, 2016 - November 11, 2019
CETERA ADVISORS LLC
BD
CRD#: 10299
FALLS CHURCH, VA
Past
October 15, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BETHESDA, MD
Past
November 21, 2008 - December 31, 2016
DEAFINVEST
RIA
CRD#: 117485
BETHESDA, MD
Past
September 19, 2008 - October 17, 2013
OSAIC WEALTH, INC.
BD
CRD#: 23131
BETHESDA, MD
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
Arizona(1/1/2021)
IAR
District of Columbia(2/22/2021)
IAR
Florida(11/20/2020)
IAR
Maryland(10/26/2020)
IAR
Virginia(7/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DE
DEAFINVEST
DEAFINVEST | SCHWARZ FINANCIAL SERVICES LLC | SCHWARZ FINANCIAL CONCEPTS | LOUIS J. SCHWARZ, CFP
CRD#: 117485 / SEC#:
Arizona
Registered Investment Advisory firm - (1/1/2021 Approved)District of Columbia
Registered Investment Advisory firm - (2/22/2021 Approved)Florida
Registered Investment Advisory firm - (11/20/2020 Approved)Maryland
Registered Investment Advisory firm - (10/26/2020 Approved)Virginia
Registered Investment Advisory firm - (7/15/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1775 Tysons Blvd 4th Floor #04160, Tysons, VA 22102
Mailing Address
1775 Tysons Blvd Fl 5, Tysons, VA 22102
Phone number
(202) 559-5509
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 70 |
| AUM (Assets Under Management) | $ 14,000,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| 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 |
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.
