Charles Drayer

NEAR NORTH FINANCIAL

Wheaton, IL

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CRD#: 7499393

Professional summary

Charles Drayer, who also goes by Charlie Drayer, is a registered financial advisor currently at NEAR NORTH FINANCIAL located in Wheaton, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Charles has worked at 2 firms and has passed the Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Drayer

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.

Name of the other business-Guillaume and Freckman Investment related-Yes Address-24 S Bothwell St, Palatine, IL 60067 Nature of the other business-wealth management firm Position/title-Financial Planning Analyst Start date-09-01-2023 Hours/week during trading hours-20-30 Duties-clerical work

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Drayer'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®

None

Experience

Current

October 31, 2023 - Present

NEAR NORTH FINANCIAL

RIA

CRD#: 328123

Wheaton, IL

Past

March 7, 2023 - April 27, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DOWNERS GROVE, IL

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

Illinois
(10/31/2023)

IAR

Wisconsin
(3/7/2024)

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: 7/17/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/7/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/14/2022

Securities Industry Essentials Examination

Current Firm

NEAR NORTH FINANCIAL

NEAR NORTH FINANCIAL | NEAR NORTH FINANCIAL LLC

CRD#: 328123 / SEC#:

Illinois

Registered Investment Advisory firm - (10/31/2023 Approved)

Wisconsin

Registered Investment Advisory firm - (3/7/2024 Approved)

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Contact information

Main Address

Hudson, WI

Mailing Address

Phone number

(630) 414-6436

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Charles Drayer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Drayer's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEAR NORTH FINANCIAL

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2023

Series 6TO

Date: 3/7/2023

SIE

Date: 10/14/2022

Current Firm

NEAR NORTH FINANCIAL

Contact information

Documents

Red Flags

Company Information

NEAR NORTH FINANCIAL

TRUST BUT VERIFY

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