Individual Firm
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CHARLES Donovan ALFARO
CHARLES ALFARO, Carlos Ernesto Alfaro, Carlos Alfaro
CRD#: 7008774
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 73130 EL PASEO
SUITE O
PALM DESERT, CA 92260
SUITE O
PALM DESERT, CA 92260
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10/17/2016
Financial
Final
State Registrations
B
Arizona 2/18/2022
B
Oregon 2/15/2022
B
California 9/26/2019
B
Pennsylvania 1/8/2024
IA
California 9/27/2019
B
Texas 10/18/2019
B
Florida 9/25/2024
IA
Texas 11/28/2024
B
Hawaii 12/16/2022
B
Virginia 5/23/2024
B
Louisiana 1/7/2022
B
Washington 2/3/2025
B
Minnesota 1/14/2021
B
Wisconsin 1/9/2024
B
Ohio 2/7/2022
B
Wyoming 6/13/2022
B
Oklahoma 2/7/2022
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 9/27/2019
B
Registered with this firm since 9/26/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/03/2018 - 09/30/2019 | INDIAN WELLS, CA | |
B | 10/26/2018 - 09/30/2019 | INDIAN WELLS, CA |
INDIAN WELLS, CA
12/03/2018 - 09/30/2019
INDIAN WELLS, CA
10/26/2018 - 09/30/2019
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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.