DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Charles Gordon Naismith

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Wenatchee, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07272d7a-dbf7-446f-8ebe-aafd571e4154

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 8, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 7, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 7, 2004
First registration: Jul 8, 2004
Dual registered: yes, broker-dealer
Other names: Charlie Naismith|CHARLES G NAISMITH
IAPD individual key: 4785213

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 16, 2024	n/a	yes	Wenatchee, WA	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Sep 11, 2009	Sep 26, 2024	no	WENATCHEE, WA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 12, 2006	Sep 11, 2009	no	WEEHAWKEN, NJ\|WENATCHEE, WA	Previous registration
PIPER SANDLER & CO.	Institutional manager	Dec 20, 2005	Aug 12, 2006	no	MINNEAPOLIS, MN\|WENATCHEE, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 8, 2004	Dec 21, 2005	no	WENATCHEE, WA\|WENATCHEE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STIFEL, NICOLAUS & COMPANY, INCORPORATED	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 26, 2024	Sep 16, 2024	-10	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Sep 11, 2009	Sep 11, 2009	0	Bulk transfer	Wirehouse to ibd
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Aug 12, 2006	Aug 12, 2006	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PIPER SANDLER & CO.	Dec 21, 2005	Dec 20, 2005	-1	Firm change	Wirehouse to new firm

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Sep 16, 2024 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Sep 11, 2009 to Sep 26, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 12, 2006 to Sep 11, 2009factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Dec 20, 2005 to Aug 12, 2006factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 8, 2004 to Dec 21, 2005factForm ADV

Dated events

Occurred
Sep 26, 2024
Advisor changed firm
Charles Gordon Naismith left Stifel, Nicolaus & Company, Incorporated for Raymond James Financial Services Advisors, Inc (registered 2024-09-16)
Form ADVobserved 4 days ago