Charlotte McConnell: Ex-Cetera Advisor Faces $300K Complaint

Fort Collins, Colorado financial Charlotte McConnell (CRD# 1161160) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James Financial Services.

Ms. McConnell’s BrokerCheck report discloses one investor complaint. Filed in November 2023, it alleges that as a representative of Cetera Investment Services, she recommended an unsuitable real estate investment. The pending complaint alleges damages of $300,000.

As the website for Raymond James Financial Services’ office in Fort Collins states, the firm was founded in 1962 by Bob James, who brought a “client-focused approach” that considered an investor’s full financial picture. “Today, that client-focused approach has extended to serve client accounts through approximately 8,700 financial advisors in the United States, Canada and overseas,” the website states. “Further, the company has expanded through the years to serve corporations, institutions and municipalities through significant capital markets, banking and asset management services.”

According to the Financial Industry Regulatory Authority, Charlotte McConnell holds 27 years of securities industry experience. Based in Fort Collins, Colorado, she has been a broker and an investment advisor with Raymond James Financial Services since 2015. Her past registrations include Cetera Investment Services (Fort Collins, Colorado; 2012-2015), The ON Equity Sales Company (Fort Collins, Colorado; 2005-2012), John G. Kinnard & Company (1993-1994), SummitView Capital (1992-1993), Kemper Securities Group (1990-1991), and Boettcher & Company (1983-1990). Her credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in California, Colorado, Hawaii, Missouri, Nebraska, North Carolina, Pennsylvania, South Carolina, South Dakota, Texas, Utah, Virginia, and Wyoming. (Information current as of December 4, 2023.)

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