Charles J. Pullaro
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 James Pullaro JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 12 firms and has passed the Series 63, SIE and Series 1 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 - January 22, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 1, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 18, 1989 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 25, 1986 - May 2, 1989
WALL STREET WEST, INC.
May 31, 1985 - September 2, 1986
BOETTCHER & COMPANY, INC.
January 30, 1979 - June 17, 1985
E. F. HUTTON & COMPANY INC
July 25, 1975 - May 5, 1979
ADVANTAGE CAPITAL CORPORATION
November 12, 1974 - January 19, 1978
HIMCO DISTRIBUTION SERVICES COMPANY
November 8, 1974 - August 5, 1975
PW SECURITIES, INC.
August 23, 1974 - November 8, 1974
BALANCED PROGRAMS, INC.
September 5, 1973 - September 28, 1974
CORNERSTONE FINANCIAL SERVICES, INC.
July 11, 1972 - September 14, 1973
VANSANCO SERVICES, INC.
September 4, 1969 - August 10, 1972
ENTERPRISE FUND DISTRIBUTORS, INC.
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 1
Date: 8/27/1969
Registered Representative 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 | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
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.
