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CHARLES JAMES CAWLEY IV
CHARLES JAMES CAWLEY, CJ CAWLEY, Charles Cawley
CRD#: 7265793
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 THREE CANAL PLAZA
PORTLAND, ME 04112
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 THREE CANAL PLAZA
PORTLAND, ME 04112
Registration History
2020202120222023202420252 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 11/21/2022

B
Montana 11/21/2022

B
Alaska 11/21/2022

B
Nebraska 11/21/2022

B
Arizona 11/21/2022

B
Nevada 11/21/2022

B
Arkansas 11/21/2022

B
New Hampshire 11/21/2022

B
California 11/21/2022

B
New Jersey 11/21/2022

B
Colorado 11/21/2022

B
New Mexico 11/21/2022

B
Connecticut 11/21/2022

B
New York 11/21/2022

B
Delaware 11/21/2022

B
North Carolina 11/21/2022

B
District of Columbia 11/21/2022

B
Ohio 11/22/2022

B
Florida 11/21/2022

B
Oklahoma 11/21/2022

B
Georgia 11/21/2022

B
Oregon 11/21/2022

B
Hawaii 11/21/2022

B
Pennsylvania 11/21/2022

B
Idaho 11/21/2022

B
Puerto Rico 11/21/2022

B
Illinois 11/21/2022

B
Rhode Island 11/21/2022

B
Indiana 11/21/2022

B
South Carolina 11/21/2022

B
Kansas 11/21/2022

B
Tennessee 11/21/2022

B
Louisiana 11/21/2022

B
Texas 11/21/2022

B
Maine 5/24/2022

IA
Texas 3/1/2024

IA
Maine 6/13/2022

B
Utah 11/21/2022

B
Maryland 11/21/2022

B
Vermont 11/21/2022

B
Massachusetts 11/21/2022

B
Virgin Islands 11/21/2022

IA
Massachusetts 8/2/2024

B
Virginia 11/21/2022

B
Michigan 11/21/2022

B
Washington 11/21/2022

B
Minnesota 11/21/2022

B
Wisconsin 11/21/2022

B
Mississippi 11/21/2022

B
Wyoming 11/21/2022

B
Missouri 11/21/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
THREE CANAL PLAZA, PORTLAND, ME 04112
Registered with this firm since 6/13/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
THREE CANAL PLAZA, PORTLAND, ME 04112
YARMOUTH, ME
Registered with this firm since 5/23/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/18/2021 - 04/27/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) FALMOUTH, ME
B
06/10/2021 - 04/26/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) FALMOUTH, ME
IA
10/06/2020 - 01/22/2021 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) MERRIMACK, NH
B
09/03/2020 - 01/21/2021 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MERRIMACK, NH
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B
Broker
IA
Investment Adviser
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.