Charles W. Evans
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 Wayne Evans, who also goes by Chuck Evans, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 17, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 25, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 17, 2001 - December 17, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 1996 - December 19, 2001
ROBERT W. BAIRD & CO. INCORPORATED
May 20, 1993 - January 9, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 19, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 18, 1988 - March 25, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 18, 1988 - March 25, 1993
OSAIC FA, INC.
March 6, 1987 - March 23, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 6, 1987 - March 28, 1988
EQUITABLE ADVISORS, 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
Current 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.
