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CFP

C. Wharton

Raymond James & Associates, INC.
34 Years of Experience
Richmond, VA
1 DisclosureBroker
View SEC Summary
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C. Wharton is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Richmond, VA, with 34 years of industry experience. C. 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

5820 Patterson Ave., Suite 100, Richmond, VA, 23226

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History

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 2014
Denied
View Full SEC ReportHow to Read Disclosures
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 6 mos
Raymond James & Associates, INC.Broker
April 2017 - Present · 9 yrs 6 mos
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

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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