Individual Firm
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Charles Albert Hall III
CHARLES ALBERT HALL III, CHUCK HALL III
CRD#: 2565364
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 301 E Yamato Rd
Suite 3160
Boca Raton, FL 33431
Suite 3160
Boca Raton, FL 33431
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 301 YAMATO ROAD
SUITE 3160
BOCA RATON, FL 33431
SUITE 3160
BOCA RATON, FL 33431
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3/5/2014
Customer Dispute
Denied
10/27/2009
Customer Dispute
Settled
1/5/1992
Criminal
Final Disposition
State Registrations
B
California 1/8/2021
B
New York 1/8/2021
B
Connecticut 12/7/2023
B
North Carolina 11/15/2021
B
Florida 10/2/2020
B
Ohio 7/26/2023
IA
Florida 10/13/2020
B
Oregon 5/4/2021
B
Georgia 1/26/2021
B
Texas 1/8/2021
B
Illinois 7/13/2023
IA
Texas 1/8/2021
B
Kansas 4/25/2022
B
Virginia 11/16/2023
B
Massachusetts 1/11/2021
B
West Virginia 4/15/2024
B
New Jersey 1/8/2021
B
Wisconsin 1/11/2021
SRO Registrations
B
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IA
Registered with this firm since 10/2/2020
B
Registered with this firm since 10/2/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/27/2007 - 10/06/2020 | COCONUT CREEK, FL | |
B | 06/11/2007 - 10/06/2020 | COCONUT CREEK, FL | |
B | 07/10/1996 - 06/12/2007 | BOCA RATON, FL | |
B | 04/19/1995 - 04/24/1996 | MILLBURN, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.