Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Herbert Mulfinger II has been in the financial services industry since July 1984 and is currently registered with Raymond James & Associates, Inc. in Tampa, Florida. Charles has a wide range of experience in the industry, having previously worked at Morgan Stanley and Citigroup Global Markets Inc. Charles specializes in providing financial planning, portfolio management, and other advisory services to a diverse range of clients, including high-net-worth individuals, corporations, and charitable organizations. Charles has a strong commitment to helping his clients achieve their financial goals.
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
08/06/2024 - Present
Raymond James & Associates, Inc. (TAMPA FL)
FL
06/01/2009 - 07/05/2019
MORGAN STANLEY (TAMPA FL)
FL
07/26/1984 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
BOTH
Issued 08/01/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2024
Series 7TO - General Securities Representative Examination
BC
Issued 12/29/2023
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
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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