Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Darryl Maxwell is an investment advisor representative at Raymond James & Associates, Inc., with an office in St. Petersburg, FL. Charles has been in the industry since June 9, 1986. Charles is registered with the state of Tennessee and has a Series 65 license. Charles is also registered with the Financial Industry Regulatory Authority (FINRA) and has Series 7, 8, 9, 10, 27, 31, 79TO, 99TO and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
02/13/2013 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TN
02/20/2013 - 12/31/2014
MORGAN KEEGAN & COMPANY, LLC (MEMPHIS TN)
TN
06/10/1986 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
IA
Issued 04/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/28/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/17/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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