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Charles Allard Allison III

Charles A. Allison

OARSMAN CAPITAL,
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 5854122
Charles Allard Allison III

Professional summary

Charles Allard Allison III, CFP®, who also goes by Charles Allard Allison, is a registered financial advisor currently at OARSMAN CAPITAL, INC located in Milwaukee, Wisconsin.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Charles has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles Allard Allison

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.
1) Johnson Bank; investment related affiliate; 555 E Wells, Milwaukee, WI; wealth management, trust services, banking, loans; VP Wealth Advisor; May 2022; full-time advisor and dual employee of Johnson Bank and Johnson Wealth Inc. 2) Mr. Allison is licensed for sale of non-variable life, health, long-term care, and annuity and/or disability income insurance products and receives commission for referring such business to Johnson Insurance, an affiliate of Johnson Wealth Inc. and Johnson Bank. Mr. Allison's focus is wealth management and insurance referrals are made when appropriate to fulfill a client's needs; therefore, time spent is negligible.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Allard Allison III'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®
CFP®

Certified Financial Planner

Start date: 2017

Experience

Current

January 26, 2023 - Present

OARSMAN CAPITAL, INC

Office #1: 759 North Milwaukee Street Suite 605, Milwaukee, WI 53202
RIA
CRD#: 109993
Milwaukee, WI
Past

May 16, 2016 - November 15, 2022

JOHNSON WEALTH INC.

RIA
CRD#: 125557
MILWAUKEE, WI
Past

June 23, 2015 - June 2, 2016

CLEARY GULL INC.

RIA
CRD#: 45309
MILWAUKEE, WI
Past

June 23, 2015 - June 2, 2016

CLEARY GULL INC.

BD
CRD#: 45309
MILWAUKEE, WI
Past

April 25, 2014 - June 11, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MILWAUKEE, WI
Past

January 27, 2012 - June 11, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OC
OARSMAN CAPITAL, INC
LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA
Registered Investment Advisory firm - (3/15/2002 Approved)
Washington
Registered Investment Advisory firm - (3/27/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - (4/5/2002 Terminated)

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
Wisconsin
(1/26/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/14/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/26/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

OC
OARSMAN CAPITAL, INC
LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA
Registered Investment Advisory firm - (3/15/2002 Approved)
Washington
Registered Investment Advisory firm - (3/27/2002 Terminated)
Wisconsin
Registered Investment Advisory firm - (4/5/2002 Terminated)
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Contact information

Main Address
790 North Water Street Suite 1850, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 221-0081
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OARSMAN CAPITAL ADV PART 2 (11/25/2025)

Regulatory assets under management

Total Number of Accounts1,872
AUM (Assets Under Management)$ 926,809,806

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

OARSMAN CAPITAL, INC

CRD#: 109993Milwaukee, WI 53202

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