Chuck Gillingham Involved in a Third Investor Dispute
Chuck Gillingham (CRD #: 2521606), a broker registered with Raymond James & Associates, has a third dispute on his record, according to his BrokerCheck record, accessed on September 15, 2021. If you have concerns about his conduct as a broker, keep reading.
On July 19, 2021, an investor alleged that Chuck Gillingham did not re-adjust his sub-accounts back to a more growth-oriented sub-account when the markets began to recover. The dispute was denied, but firms can decide to “deny” customer disputes without an independent review. “Denials” simply mean the firm denies their broker engaged in misconduct. Investors can still recover their losses following a denial.
On January 22, 2021, an investor alleged that Chuck Gillingham mismanaged an account, resulting in a lost annuity benefit. The investor sought $589,379; the dispute was denied.
Chuck Gillingham Background Information
Chuck Gillingham has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 34 states and is a registered investment adviser in Florida and Texas.
Besides Raymond James & Associates, Chuck Gillingham has worked with the following firms:
- BB&T Securities (142785)
- Wells Fargo Advisors (CRD #: 19616)
- Wachovia Securities (CRD #: 19616)
- First Union Brokerage Services (CRD #: 8112)
- Dean Witter Reynolds (CRD #: 7556)
Kurta Law Can Help
If you worked with Chuck Gillingham and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.