Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHARLES WILLIAM DIBNER
CHARLIE DIBNER
CRD#: 720494
IA
Investment Adviser
F L PUTNAM INVESTMENT MANAGEMENT CO.CRD#: 106223 5 WIDGERY WHARF
PORTLAND, ME 04101
Registration History
20062008201020122014201620182020202220242026IAF L PUTNAM INVESTMENT MANAGEME... (CRD# 106223)2023 - Present (1 year)IAAURORA FINANCIAL GROUP, LLC (CRD# 134895)2011 - 2023 (12 years)IAAURORA FINANCIAL GROUP, LLC (CRD# 134895)2005 - 2010 (5 years)
License(s)

State Registrations

IA
Maine 7/12/2023
Current Registration(s)
IA
F L PUTNAM INVESTMENT MANAGEMENT CO. (CRD#:106223)
5 WIDGERY WHARF, PORTLAND, ME 04101
Registered with this firm since 7/12/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/10/2011 - 10/02/2023 AURORA FINANCIAL GROUP, LLC (CRD#:134895) PORTLAND, ME
IA
 07/06/2005 - 12/31/2010 AURORA FINANCIAL GROUP, LLC (CRD#:134895) SCARBOROUGH, ME
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.