Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles William Hubbard is a financial professional with over 40 years of experience in the industry. Currently, Charles is a registered representative and investment advisor representative with Raymond James & Associates, Inc., where Charles has been employed since May 2016. Prior to joining Raymond James, Charles was employed by RBC Capital Markets, LLC for over 13 years. Charles has a broad range of experience working with a variety of clients including high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Charles holds several licenses including Series 63, 7, 8, 9, and 10. Charles has been registered with the following states: Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, and Wyoming.
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
CA
05/09/2016 - Present
Raymond James & Associates, Inc. (San Francisco CA)
CA
11/01/2001 - 01/29/2015
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
10/19/1990 - 03/08/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
06/26/1984 - 10/23/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/27/1978 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
10/03/1977 - 10/21/1978
WHITE, WELD & CO. INCORPORATED
BC
Issued 11/15/1979
Series 63 - Uniform Securities Agent State 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 10/31/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1977
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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