CHARLES FRANKLIN NEDBAL is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 5847 SAN FELIPE ROAD, SUITE 1400 &1550, HOUSTON, TX, 77057.
CHARLES FRANKLIN NEDBAL has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2009
CHARLES FRANKLIN NEDBAL has 1 Disclosure Event(s).
Date: December 08, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGED UNAUTHORIZED TRADING. ACTIVITY BETWEEN 9/10/10 AND 10/21/10. Settlement Amount: $53,684.85 Broker Comment: CLIENT WAS A REFERRAL AND FIRST CONTACTED ME IN THE FALL OF 2008 WANTING INVESTMENT GUIDANCE. AFTER SEVERAL MEETINGS TO REVIEW EXISTING ASSETS, PAST INVESTMENT EXPERIENCE, PROFILE CLIENT GOALS, OBJECTIVES, TIME FRAMES, LIFESTYLE, FAMILY HISTORY ETC., THE FIRST ACCOUNT WAS OPENED IN FALL OF 2010. CLIENT EXPRESSED A BIG NEED FOR TAX-FREE INCOME, SO WE HAD SEVERAL DISCUSSIONS REGARDING CONCERNS ABOUT INTEREST RATES, CREDIT RISK AS WELL AS MANAGING VOLATILITY AND DIVERSIFICATION. IN ADDITION, I EXPLAINED HOW A PORTFOLIO OF HIGHEST QUALITY INDIVIDUAL BONDS WITH STAGGERED MATURITIES ARE A PROVEN STRATEGY TO DEFEND AGAINST WHATEVER INTEREST RATES DO WHEN THOSE BONDS ARE HELD TO THEIR CALL DATE OR MATURITY. I PROPOSED A BOND STRATEGY BASED ON CLIENT'S AGE, RETIREMENT TIME FRAME, LIQUIDITY NEEDS, AS WELL AS WHERE THE BEST VALUE WAS IN THE LONGER MATURITIES- WHICH FORTUNATELY MATCHED WELL WITH THE CLIENT'S TIME HORIZON. AS A RESULT, I BELIEVED CLIENT WAS CONVINCED THIS WAS IN HIS BEST INTERESTS.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CHARLES FRANKLIN NEDBAL, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More