CM
CM
Charles Massimi
41 Years of Experience
Armond, NY
2 DisclosuresBroker
Charles Massimi is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Armond, NY, with 41 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
Loading...
Location
20 Maple Avenue, Armond, NY, 10504
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2003Settled
Customer Dispute
August 2001Settled
Other Business Activities
Charles is the owner of C & B Wealth Management and The Silverman Group, both support companies. He dedicates minimal time to these businesses.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2013 - Present · 12 yrs 11 mos
Raymond James Financial Services, INC.
October 2013 - Present · 12 yrs 11 mos
Raymond James Financial Services, INC.Broker
October 2013 - Present · 12 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - October 2013 · 4 yrs 4 mos
Morgan Stanley
June 2009 - October 2013 · 4 yrs 4 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
UBS Financial Services INC.
September 2002 - April 2007 · 4 yrs 7 mos
UBS Financial Services INC.Broker
August 1994 - April 2007 · 12 yrs 8 mos
Robert Thomas Securities, INCBroker
January 1988 - August 1994 · 6 yrs 7 mos
Shearson Lehman Brothers INC.Broker
August 1984 - October 1987 · 3 yrs 2 mos
Mclaughlin, Piven, Vogel INC.Broker
December 1983 - August 1984 · 8 mos
State Registrations21 states
AZCACOCTDCDEFLGAILLAMAMDNCNJNVNYOKPARITXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.