CW
CFP
CW
CFP
C. Wharton
34 Years of Experience
Richmond, VA
1 DisclosureBroker
C. Wharton is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Richmond, VA, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
5820 Patterson Ave., Suite 100, Richmond, VA, 23226
Get directionsHistory
Regulatory History (1)
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
April 2014Denied
Other Business Activities
C. is a managing member of Trays Branch LLC since 2018. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2017 - Present · 9 yrs 1 mo
Raymond James & Associates, INC.Broker
April 2017 - Present · 9 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1993 - April 2017 · 24 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1993 - April 2017 · 24 yrs 2 mos
Northwestern Mutual Investment Services, INC.Broker
October 1990 - October 1991 · 1 yr
Robert W. Baird & CO. IncorporatedBroker
October 1990 - October 1991 · 1 yr
State Registrations26 states
AZCACOCTDCFLGAIDILINKSKYLAMAMDMOMTNCNYOHORSCTNTXVAWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.