Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles David Sherman is a financial advisor at Raymond James & Associates, Inc. Charles has been in the financial services industry since 1999 and holds a Series 7 and Series 66 license. Charles is registered to provide investment advice in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Indiana, Iowa, Kansas, Kentucky, Louisiana, Massachusetts, Mississippi, Missouri, Nebraska, New Mexico, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Dakota, Tennessee, Texas, Utah, and Virginia. Charles is also an Investment Advisor Representative in Mississippi and Texas.
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
MS
05/02/2018 - Present
Raymond James & Associates, Inc. (Oxford MS)
MS
09/03/2009 - 04/11/2018
WELLS FARGO CLEARING SERVICES, LLC (OXFORD MS)
MS
08/31/2009 - 09/03/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (OXFORD MS)
MS
01/01/2008 - 09/01/2009
WELLS FARGO ADVISORS, LLC (OXFORD MS)
MS
10/09/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (OXFORD MS)
TN
08/27/1999 - 09/25/2006
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BOTH
Issued 10/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1999
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
Not sure Charles Sherman is the right advisor for you? Invested Better is here to help.
