Charles Hall is a registered investment advisor, based in Boca Raton, FL, with 30 years of industry experience.
Location
301 E Yamato Rd, Suite 3160, Boca Raton, FL, 33431
Get directionsHistory
Regulatory History (3)
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
March 2014Denied
Customer Dispute
October 2009Settled
Criminal
January 1992Final Disposition
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2020 - Present · 5 yrs 7 mos
Raymond James Financial Services, INC.Broker
October 2020 - Present · 5 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
August 2007 - October 2020 · 13 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
June 2007 - October 2020 · 13 yrs 4 mos
Fmsbonds, INC.Broker
July 1996 - June 2007 · 10 yrs 11 mos
Halpert and Company, INC.Broker
April 1995 - April 1996 · 1 yr
State Registrations16 states
CACTFLGAILKSMANCNJNYOHORTXVAWIWV
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.