Charles MassimiCRD Number: 1219041
Current Firm: Raymond James Financial Services Advisors, Inc.
Charles Massimi (CRD# 1219041) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Armonk, NY and has over 33 years of experience in the finance industry.
Altium Wealth Management LLC
Axa Advisors, LLC
H. Beck, Inc.
|Mimas Meatballs And More||Danbury, CT||Sep 2015 - Current||2|
|Cucina Mima LLC||Danbury, CT||Mar 2015 - Current||2|
|Raymond James Financial Services, Inc.||Armonk, NY||Oct 2013 - Current||4|
|The Massimi Group||Armonk, NY||Oct 2013 - Current||4|
|Raymond James Financial Services Advisors Inc.||Armonk, NY||Oct 2013 - Current||4|
|C & B Wealth Management||Armonk, NY||Sep 2013 - Current||4|
|Chrischelle Ii||Danbury, CT||Oct 2013 - Jun 2015||1|
|Morgan Stanley||Purchase, NY||Jun 2009 - Oct 2013||4|
|Morgan Stanley & Company, Incorporated||Purchase, NY||Apr 2007 - Jun 2009||2|
|Ubs Financial Services Inc.||Tarrytown, NY||Jul 1994 - Apr 2007||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1984|
|S65||NASAA Investment Advisors Law Examination||Aug 1996|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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