Charles Hall is a registered investment advisor, based in Boca Raton, FL, with 31 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold.
Location
301 E Yamato Rd, Suite 3160, Boca Raton, FL, 33431
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Regulatory History (3)
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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 · 6 yrs
Raymond James Financial Services, INC.Broker
October 2020 - Present · 6 yrs
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.
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