Branch offices
1 office
FINRA: Small firm
CRD #27823 · FINRA BrokerCheck + SEC IAPD
Charter OAK Asset Management, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Charter OAK Asset Management, Inc. ranks #7,703 of 20,055 by disclosure count (most disclosures first). Charter OAK Asset Management, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.
- Grade A
- Safety grade
- 1
- branch office
- 0
- disclosures
- #7,703 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 27823 Charter OAK Asset Management, Inc.
Charter OAK Asset Management, Inc. · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 27823
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 1
- PER-OFF 0.00
- RANK #7,703 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Charter OAK Asset Management, Inc. ranks #7,703 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 1 offices
Clean disclosure surface
Charter OAK Asset Management, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 27823
Clean BrokerCheck surface
Charter OAK Asset Management, Inc.'s clean BrokerCheck surface
Charter OAK Asset Management, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).
Charter OAK Asset Management, Inc. shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Charter OAK Asset Management, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Charter OAK Asset Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Charter OAK Asset Management, Inc. ranks #7,703 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Charter OAK Asset Management, Inc.?
A grade of A means Charter OAK Asset Management, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Charter OAK Asset Management, Inc. have?
Charter OAK Asset Management, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Charter OAK Asset Management, Inc.?
Charter OAK Asset Management, Inc. operates 1 branch office and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Charter OAK Asset Management, Inc.'s disciplinary record?
You can verify Charter OAK Asset Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 27823. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Charter OAK Asset Management, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Charter OAK Asset Management, Inc.'s 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Charter OAK Asset Management, Inc.'s 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Charter OAK Asset Management, Inc.'s 0.00
- How to Vet a Financial Advisor - Use Charter OAK Asset Management, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Charter OAK Asset Management, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Charter OAK Asset Management, Inc..
- Compare firms - put Charter OAK Asset Management, Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.