Charles D. Maxwell
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 Darryl Maxwell, who also goes by Charlie Maxwell, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 4 firms and has passed the Series 65, Series 99TO, Series 79TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2019 - April 2, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 9, 2019 - April 2, 2026
CARILLON FUND DISTRIBUTORS, INC.
February 20, 2013 - October 29, 2013
MORGAN KEEGAN & COMPANY, LLC
February 20, 2013 - December 31, 2014
MORGAN KEEGAN & COMPANY, LLC
February 13, 2013 - April 2, 2026
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - April 2, 2026
RAYMOND JAMES & ASSOCIATES, INC.
January 23, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 10, 1986 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 3/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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