CM
Charles E. Maraggia
DOMINION PORTFOLIO MANAGEMENT
CARTHAGE, TX 75633
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CRD#: 7298225
CM
Professional summary
Charles Edward Maraggia is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Carthage, Texas and CALTON & ASSOCIATES, INC. located in Carthage, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Charles has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
New Era Life Insurance Company; Non-investment related; 11720 Katy Freeway, Ste 1700, Houston, TX 77079; Fixed Annuities/Life Insurance; Agent; Start Date: 9/22/2025; Hours/month: 5; Hours/month during securities trading hours: 5; Duties: Completing paperwork in soliciting business for fixed annuities and life insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Edward Maraggia'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
September 2, 2021 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
Office #1: 1509 West Panola, Carthage, TX 75633RIA
CRD#: 106918
CARTHAGE, TX
Current
July 1, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1509 West Panola Street, Carthage, TX 75633RIA
BD
CRD#: 20999
Carthage, TX
Past
February 5, 2021 - July 21, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
CARTHAGE, TX
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".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Mississippi(11/4/2024)
IAR
Texas(9/2/2021)
RR
Texas(7/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/5/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
