Charles S. Galbreath
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 Scott Galbreath, who also goes by Charles S Galbreath II, Charles S Galbreath, Charles Scott Galbreath Ii, Chuck Galbreath, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1975. Charles had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 24, Series 9, Series 10 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
Experience
February 4, 2020 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 31, 2020 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 7, 2017 - December 31, 2021
RAYMOND JAMES & ASSOCIATES, INC.
February 6, 2017 - December 31, 2021
RAYMOND JAMES & ASSOCIATES, INC.
December 7, 2015 - July 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2015 - July 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2013 - December 7, 2015
MORGAN STANLEY
January 15, 2013 - December 7, 2015
MORGAN STANLEY
July 31, 2009 - February 2, 2012
CITIGROUP GLOBAL MARKETS INC.
November 12, 2003 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 1999 - July 8, 2003
MORGAN STANLEY DW INC.
February 14, 1996 - August 13, 1998
CIBC WORLD MARKETS CORP.
October 24, 1994 - May 17, 1995
SUNTRUST CAPITAL MARKETS, INC.
March 16, 1994 - October 24, 1994
TRUIST INVESTMENT SERVICES, INC.
September 12, 1978 - March 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 52TO
Date: 1/2/2023
Municipal Securities 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 | 1,030,208 |
| 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.
