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Fidelon

Chatsworth Securities is a broker-dealer based in Greenwich, CT, that holds a 83.3/100 Fidelon TransparencyScore (44th percentile among broker-dealers), with 22 registered advisors. Score based on public SEC and FINRA filings.

83.3Transparency Score
Bottom44%
of broker-dealers

Chatsworth Securities

A dual-registered firm offering both advisory and brokerage services.

95 East Putnam Avenue, Greenwich, CT, 06830
Investment AdviserBroker-Dealer
Prep Kit

Fidelon Fact Sheet

Chatsworth Securities LLC is an investment adviser and broker-dealer in Greenwich, CT. It has 22 registered advisors. It can earn commissions when it sells you a product. When it gives advice, it must put your interests first. When it sells products, it only has to pick ones that are suitable for you. It has regulatory actions and court cases on file, most recently in 2025.

83.3StrongBottom 44% of broker-dealers
How they're paidNot disclosed in the firm's latest filing.
Not reported
Duty to youA fiduciary in some roles and not in others.
Adviser · broker-dealer
Assets under managementNot reported in the firm's latest filing.
Not reported
Firm size
22 advisors
Who holds your moneyThe firm reports it does not hold client funds.
No custody reported
Regulatory recordFull record in Regulatory Track Record below.
2 disclosures · last action 2025
Based on live filings from SEC Form ADV and FINRA BrokerCheck. Scored using Fidelon's published methodology. Data as of Oct 2026

Peer Context

National

1,467th of 2,606

broker-dealers

Bottom 44%

State

76th of 107

broker-dealers in CT

Bottom 29%

Local

16th of 24

broker-dealers in Greenwich, CT

Bottom 33%

Compare Chatsworth Securities to other firms in CT →Find more financial advisors in Connecticut →

Key Findings

Strengths

  • Registered as investment adviser with fiduciary obligation

Things You Should Know

  • Also operates as a broker-dealer — may not always be required to put your interests first
  • 2 regulatory complaints reported by FINRA
  • $5K in regulatory fines

Conflict Audit

Conflict AuditMultiple Conflicts

Multiple structural conflicts identified in regulatory filings. These are disclosed business arrangements — worth asking about, not disqualifying.

⚠
Registered as broker-dealer — not always required to act in your best interest
⚠
Can earn commissions on product sales
✓
No outside compensation sources
✓
No related-party custodian
✓
No performance-based fees
✓
No other business lines disclosed
Compensation: Fees + Commissions

Source: Form ADV Part 1, Items 6-8; Part 2A, Items 10-14

Regulatory Events

Next Steps

This firm's score reflects some areas where disclosure could improve. Here's what that means for you.
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Advisor Roster

22 advisors

AdvisorScoreGrade
Lee Merrill Gerkin——
Patrick Francis Downes——
Terrence Lewis McCrary——
Ralph Raymond Difiore——
Dennis Paul Emanuel——
Stephen Austin Clark——
Robert Rohner Geitz——
Thomas Henry Lovell Jr——
Marianela Canton——
Harold Eliot Becker——

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Frequently Asked Questions

What does the TransparencyScore measure?

The TransparencyScore measures how clearly and completely an advisor or firm discloses important information in their regulatory filings — things like fees, conflicts of interest, disciplinary history, and business practices. A higher score means better disclosure quality, not better investment performance.

Where does this data come from?

All data comes from public regulatory filings: SEC Form ADV (Parts 1, 2, and 3), FINRA BrokerCheck, and the SEC's Investment Adviser Public Disclosure (IAPD) database. These are official filings that firms and advisors are legally required to submit.

Does a low score mean they're a bad advisor?

Not necessarily. A low score means the firm's public filings are less transparent — they may use vague language about fees, skip details about conflicts, or have a more complex regulatory history. Some excellent advisors work at firms with poor disclosure practices. The score measures the filing, not the person.

How often is this data updated?

Fidelon refreshes data from SEC and FINRA sources on a regular schedule. Form ADV filings are updated annually by firms (with amendments throughout the year), and BrokerCheck data is updated as events are reported. Scores are recalculated after each data refresh.

Can an advisor or firm improve their score?

Yes. Scores are based on what's in public filings. A firm that rewrites its ADV brochure in clearer language, discloses conflicts more specifically, or resolves outstanding regulatory issues will see its score improve at the next refresh. The incentive structure is intentional.

Data Sources

SEC Form ADV Part 1 — Retrieved November 2, 2026SEC Form ADV Part 2ASEC IAPDFINRA BrokerCheck

Scores are generated using Fidelon's published scoring methodology and reflect the quality of public disclosures, not the quality of investment advice. A firm that improves its disclosures will see its score improve. Fidelon does not provide investment advice.

Verify on SEC IAPD · FINRA BrokerCheck

Last scored: · Score version: 3.15 · CRD #40804