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CHARLES GARDNER CLAUS
CHARLES CLAUS
CRD#: 4523747
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 360 CONCORD STREET
SUITE 210
CHARLESTON, SC 29401
SUITE 210
CHARLESTON, SC 29401
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alabama 2/13/2013
B
Nevada 10/28/2019
B
California 2/13/2013
B
New Jersey 4/6/2022
B
Colorado 2/13/2013
B
New York 9/22/2020
B
District of Columbia 11/28/2023
B
North Carolina 2/13/2013
B
Florida 3/26/2013
B
Pennsylvania 7/7/2020
B
Georgia 2/13/2013
B
Rhode Island 5/20/2019
B
Illinois 12/6/2017
B
South Carolina 2/13/2013
B
Indiana 2/13/2013
IA
South Carolina 2/13/2013
B
Kentucky 8/9/2022
B
Tennessee 8/28/2023
B
Michigan 1/30/2017
B
Texas 2/13/2013
B
Missouri 8/1/2024
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Texas 4/23/2013
B
Nebraska 2/13/2013
B
Virginia 2/13/2013
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
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Registered with this firm since 2/13/2013
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Registered with this firm since 2/13/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/03/2010 - 02/13/2013 | CHARLESTON, SC | |
B | 12/03/2010 - 02/13/2013 | CHARLESTON, SC | |
IA | 11/01/2006 - 12/16/2010 | RALEIGH, NC | |
B | 11/01/2006 - 12/16/2010 | CHARLESTON, SC | |
IA | 03/03/2006 - 11/01/2006 | DANIEL ISLAND, SC | |
B | 03/03/2006 - 11/01/2006 | DANIEL ISLAND, SC | |
IA | 07/05/2002 - 03/07/2006 | CHARLESTON, SC | |
B | 08/12/2002 - 03/07/2006 | CHARLESTON, SC |
CHARLESTON, SC
08/12/2002 - 03/07/2006
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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.