SB
Scott A. Bacon
CHARTER WEALTH MANAGEMENT
Raleigh, NC 27615
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CRD#: 6041063
SB
Professional summary
Scott Alan Bacon, CFP®, who also goes by Scott Bacon, is a registered financial advisor currently at CHARTER WEALTH MANAGEMENT located in Raleigh, North Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Scott has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Bacon
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) 2016-Present: Compass Surgical Partners, LLC/Not investment related/Raleigh, NC/Healthcare Consulting/Vice President/Involves 80% or more time each month, including during traditional business hours.//(2) 2012-Present: Insurance agent/Insurance related/Raleigh, NC/Independent licensed insurance agent/Involves 10% or less time per month, including during traditional business hours.//
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alan Bacon'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®
CFP®
Start date: 2014
Experience
Current
January 5, 2017 - Present
CHARTER WEALTH MANAGEMENT
Office #1: 8601 Six Forks Road Suite 400, Raleigh, NC 27615RIA
CRD#: 162299
Raleigh, NC
Past
June 4, 2012 - April 22, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RALEIGH, NC
Past
May 3, 2012 - April 22, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RALEIGH, NC
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".
CW
CHARTER WEALTH MANAGEMENT
CHARTER WEALTH MANAGEMENT | PLUNKETT WEALTH MANAGEMENT, INC. | PLUNKETT WEALTH MANAGEMENT | CHARTER WEALTH MANAGEMENT, INC.
CRD#: 162299 / SEC#: 801-117854
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Alabama
Registered Investment Advisory firm - (1/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (1/9/2020 Terminated)Mississippi
Registered Investment Advisory firm - (1/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Tennessee
Registered Investment Advisory firm - (1/15/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 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
North Carolina(1/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CHARTER WEALTH MANAGEMENT
CHARTER WEALTH MANAGEMENT | PLUNKETT WEALTH MANAGEMENT, INC. | PLUNKETT WEALTH MANAGEMENT | CHARTER WEALTH MANAGEMENT, INC.
CRD#: 162299 / SEC#: 801-117854
RIA
Registered Investment Advisory firm - (1/3/2020 Approved)Alabama
Registered Investment Advisory firm - (1/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (1/9/2020 Terminated)Mississippi
Registered Investment Advisory firm - (1/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Tennessee
Registered Investment Advisory firm - (1/15/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8601 Six Forks Road Suite 400, Raleigh, NC 27615
Mailing Address
Phone number
(919) 729-2100
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 263 |
| AUM (Assets Under Management) | $ 175,566,963 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CHARTER WEALTH MANAGEMENT
CRD#: 162299Raleigh, NC 27615TRUST BUT VERIFY
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