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Charles Mulfinger

Raymond James & Associates, INC.
37 Years of Experience
Tampa, FL
2 DisclosuresBroker
View SEC Summary
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Charles Mulfinger is a registered investment advisor at Raymond James & Associates, INC., based in Tampa, FL, with 37 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

706 S Moody Ave, Tampa, FL, 33606

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History

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
October 2001
Denied
Customer Dispute
February 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles is a managing member of MH Lending, LLC, involved in investment property financing, and a partner in HM RAX Investments LLC, a software company. He also owns a stake in OW Investors, LLC d/b/a MARS Water Company and OFL RE INVESTORS, LLC, both entities holding private investments, dedicating minimal time to each.

Employment History
Current Registrations
Raymond James & Associates, INC.
August 2024 - Present · 2 yrs 2 mos
Raymond James & Associates, INC.Broker
July 2024 - Present · 2 yrs 3 mos
Previous Registrations
Morgan Stanley
June 2009 - July 2019 · 10 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2019 · 10 yrs 1 mo
Citigroup Global Markets INC.
April 1991 - June 2009 · 18 yrs 2 mos
Citigroup Global Markets INC.Broker
July 1984 - June 2009 · 24 yrs 11 mos
State Registrations14 states
CADCDEFLGALANDNJNYOHSCSDTNWA
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.
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