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Charles Brown

Raymond James & Associates, INC.
19 Years of Experience
Carlsbad, CA
1 DisclosureBroker
View SEC Summary
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Charles Brown is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Carlsbad, CA, with 19 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

5800 Armada Dr, Ste 100, Carlsbad, CA, 92008

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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
February 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Charles is a limited partner in ERP LLC, a real estate investment firm, and spends minimal time on it as a passive investor. Charles is also the Owner/CEO of C. Brown Properties LLC, a rental property business, dedicating a few hours per week to picking locations and managing rentals.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
March 2025 - Present · 1 yr 7 mos
Raymond James & Associates, INC.
March 2025 - Present · 1 yr 7 mos
Previous Registrations
City National Securities, INC.Broker
September 2016 - March 2025 · 8 yrs 6 mos
City National Securities, INC.
September 2016 - March 2025 · 8 yrs 6 mos
USAA Financial Planning Services
June 2014 - July 2016 · 2 yrs 1 mo
USAA Financial Advisors, INC.Broker
June 2014 - July 2016 · 2 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2011 - May 2014 · 3 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2010 - May 2014 · 3 yrs 9 mos
Edward Jones
January 2010 - July 2010 · 6 mos
Edward JonesBroker
May 2006 - July 2010 · 4 yrs 2 mos
State Registrations5 states
ALAZCALAUT
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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