Charles W. Dibner

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CRD#: 720494

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles William Dibner, who also goes by Charlie Dibner, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Dibner

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.

MR. DIBNER FORMERLY SERVED ON THE BOARD OF DIRECTORS FOR THE SEN. GEORGE J. MITCHELL SCHOLARSHIP RESEARCH INSTITUTE AND ON ITS INVESTMENT COMMITTEE. THE MITCHELL INSTITUTE HAS AN ENDOWMENT FOR WHICH THE DIRECTORS HIRE AN OUTSIDE (NON-RELATED) MANAGER.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 12, 2023 - July 1, 2025

F L PUTNAM INVESTMENT MANAGEMENT CO.

RIA

CRD#: 106223

PORTLAND, ME

Past

March 10, 2011 - October 2, 2023

AURORA FINANCIAL GROUP, LLC

RIA

CRD#: 134895

PORTLAND, ME

Past

July 6, 2005 - December 31, 2010

AURORA FINANCIAL GROUP, LLC

RIA

CRD#: 134895

SCARBOROUGH, ME

Past

July 18, 1989 - June 14, 2002

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

May 30, 1984 - July 29, 1989

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

December 17, 1980 - June 7, 1984

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

December 17, 1980 - June 7, 1984

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

December 17, 1980 - June 7, 1984

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 10/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 3/25/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1980

Investment Company Products/Variable Contracts Representative Examination

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 Approved)

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Contact information

Main Address

6 Kimball Lane, Lynnfield, MA 01940

Mailing Address

Phone number

(800) 344-3435

Established

Firm type

Fiscal year end

# of Employees

134

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLP FORM ADV PART 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	6,380
AUM (Assets Under Management)	$ 7,695,902,054

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/08/2025	Cover Page	Report
08/21/2025	Cover Page	Report
10/28/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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 W. Dibner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURORA FINANCIAL GROUP, LLC

AURORA FINANCIAL GROUP, LLC

ADVEST, INC.

TUCKER ANTHONY INCORPORATED

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2000

Series 63

Date: 7/26/1984

Series 15

Date: 3/25/1985

Series 7

Date: 6/16/1984

Series 6

Date: 12/15/1980

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

F L PUTNAM INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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