Charles A. Fischer
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 Andrew Fischer, CFP® was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
May 10, 2021 - February 20, 2026
RAYMOND JAMES & ASSOCIATES, INC.
May 7, 2021 - February 20, 2026
RAYMOND JAMES & ASSOCIATES, INC.
February 1, 2016 - June 1, 2021
MORGAN STANLEY
January 22, 2016 - June 1, 2021
MORGAN STANLEY
June 23, 2011 - February 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 16, 2011 - February 8, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2003 - June 20, 2011
AVANTAX ADVISORY SERVICES
May 21, 1999 - June 20, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 9, 1999 - May 18, 1999
ESSEX NATIONAL SECURITIES, LLC
August 18, 1997 - February 9, 1999
IFMG SECURITIES, INC.
October 11, 1996 - September 2, 1997
FISERV INVESTOR SERVICES, INC.
August 25, 1995 - October 21, 1996
JWGENESIS SECURITIES, INC.
October 18, 1993 - August 30, 1995
FLORIDA FINANCIAL CENTERS, INC.
September 9, 1992 - October 22, 1993
KIRLIN SECURITIES INC.
November 15, 1991 - September 23, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
September 5, 1991 - November 6, 1991
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
Monitor Charles Fischer
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