Charles E. Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Emmett Moore was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - April 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 23, 2010 - April 11, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 10, 2006 - July 8, 2008
RAYMOND JAMES & ASSOCIATES, INC.
May 31, 2006 - July 8, 2008
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 1999 - October 14, 2005
PGIM INVESTMENTS LLC
January 6, 1999 - October 13, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 30, 1983 - January 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/8/1985
Foreign Currency Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
