Charles John Ehnot
Professional Summary
Charles John Ehnot, who also goes by Charlie Ehnot, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Dunmore, Pennsylvania. Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Charles has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 15, Series 7, Series 24, Series 8 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charlie Ehnot
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
47 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BMS INTERNATIONAL INCORPORATED | THE RETIREMENT WIZ | THE DEUEL GROUP | SUPREME ALLIANCE LLC | STREVEY FINANCIAL SERVICES | ROBINSON FINANCIAL SERVICES | RENAISSANCE WEALTH PLANNING | RATLIFF & ASSOCIATES FINANCIAL SERVICES | NORTHEAST WEALTH MANAGEMENT | JONES, MICHAEL | HOMESTEAD FINANCIAL STRATEGIES LLC | GRACE FINANCIAL SERVICES | BRIAN C PARKER
Contact Information
Main Address
14804 Resolves Lane, Charlotte, NC 28277Mailing Address
2187 Ivy Crest Drive, Bellbrook, OH 45305Phone Number
(561) 460-2870Established
Delaware since 03/04/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
16SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
FINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSURANCE DISTRIBUTION CONSULTING LLC | OWNER | — |
| HUSBANDS, ROGER BRENT | COMPLIANCE PRINCIPAL | 845110 |
| JONES, MICHAEL WASHINGTON | FINOP / CEO / CCO | — |
Regulatory Assets Under Management
Total Number of Accounts
107AUM (Assets Under Management)
$35,314,242Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BMS INTERNATIONAL INCORPORATED | THE RETIREMENT WIZ | THE DEUEL GROUP | SUPREME ALLIANCE LLC | STREVEY FINANCIAL SERVICES | ROBINSON FINANCIAL SERVICES | RENAISSANCE WEALTH PLANNING | RATLIFF & ASSOCIATES FINANCIAL SERVICES | NORTHEAST WEALTH MANAGEMENT | JONES, MICHAEL | HOMESTEAD FINANCIAL STRATEGIES LLC | GRACE FINANCIAL SERVICES | BRIAN C PARKER
State Registrations and Notice Filings
(10/23/2019)
(10/23/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 15 — Foreign Currency Options Examination
Passed Mar 1983Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1987SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Charles John Ehnot's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles John Ehnot's CRS (Customer Relationship Summary).
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