Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles James Smith is a financial advisor with Raymond James & Associates, Inc.. Charles is a registered representative with the firm and holds a Series 63 license for securities. Charles has been in the securities industry since September 1990 and is licensed to provide financial services in all states of the US.
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.
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2
CA
04/05/2011 - Present
Raymond James & Associates, Inc. (San Francisco CA)
CA
08/28/2009 - 08/01/2011
HOWE BARNES HOEFER & ARNETT, INC. (SAN FRANCISCO CA)
CA
06/01/2009 - 09/16/2009
MORGAN STANLEY SMITH BARNEY (PALO ALTO CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PALO ALTO CA)
NY
09/27/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1990
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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