Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Massimi is a financial advisor registered with Raymond James Financial Services Advisors, Inc.. Charles has been in the financial industry since April 2, 1984 and has been with Raymond James since October 2013. Charles holds Series 7, 9, 10, 63 and 65 securities licenses and has a record of 20 approved state registrations. Charles works with individual investors, corporations, high net worth individuals, pension plans, and charitable organizations. Charles Massimi provides financial planning, investment management, and pension consulting services.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NY
11/07/2013 - Present
Raymond James Financial Services Advisors, Inc. (ARMOND NY)
NY
06/01/2009 - 10/23/2013
MORGAN STANLEY (PURCHASE NY)
NY
04/03/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
08/15/1994 - 04/12/2007
UBS FINANCIAL SERVICES INC. (WHITE PLAINS NY)
FL
01/01/1988 - 08/04/1994
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
NA
08/14/1984 - 10/05/1987
SHEARSON LEHMAN BROTHERS INC.
NA
12/21/1983 - 08/06/1984
MCLAUGHLIN, PIVEN, VOGEL INC.
IA
Issued 08/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/01/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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