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Charles R. Douglass

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CRD#: 2376211
CD

Professional summary

Charles Roland Douglass JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Charles had worked at 3 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WACHOVIA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 20, 2001 - June 11, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
SPARTANBURG, SC
Past

April 24, 2001 - June 11, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SPARTANBURG, SC
Past

April 30, 1997 - June 5, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 29, 1993 - April 29, 1997

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/9/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/1993
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC | RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES | RAYMOND JAMES ADVISORY SERVICES

CRD#: 6694 / SEC#: , 8-17983

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 09/12/1973
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.OWNER
BARKO, SHAWN JOSEPHCHIEF COMPLIANCE OFFICER2690394
CURTIS, SCOTTDIRECTOR1707935
ELWYN, TASHTEGO SPRINGDIRECTOR2319098
GEIS, WILLIAM CHRISTIANDIRECTOR2171250
GRIGAS CALIGIURI, KARAPRINCIPAL FINANCIAL OFFICER, FINOP2146027
KRUCHTEN, STEPHEN EDWARDDIRECTOR1645287
REID, SHANNON BELVEALPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR4815189
RUST, KEITH GPRINCIPAL OPERATIONS OFFICER5915636
SANTELLI, JONATHANGENERAL COUNSEL6306997

Disclosures

Regulatory Event128
Arbitration76

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 FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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