Arthur E. Raitano
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Edward Raitano, who also goes by Art Raitano, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 15 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 10, Series 9, Series 4, Series 53, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2017 - June 3, 2024
HONEY BADGER INVESTMENT SECURITIES, LLC
December 11, 2015 - March 31, 2016
FIVE 9 SECURITIES, LLC
June 19, 2007 - June 25, 2014
E.J. DE LA ROSA & CO., INC.
November 20, 2006 - June 26, 2007
PUNK, ZIEGEL & COMPANY, L.P.
September 6, 2006 - November 9, 2006
URCHIN CAPITAL PARTNERS, LLC
July 5, 2000 - June 15, 2006
HOEFER & ARNETT, INCORPORATED
November 4, 1997 - April 14, 2000
IMPERIAL CAPITAL, LLC
March 7, 1997 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
May 22, 1996 - June 14, 1996
E*TRADE SECURITIES LLC
February 29, 1992 - January 24, 1996
U.S. BANCORP ADVISORS, LLC
February 28, 1992 - January 24, 1996
U.S. BANCORP ADVISORS, LLC
December 17, 1990 - June 17, 1992
AGI PACIFIC CAPITAL GROUP, INC.
November 14, 1988 - October 25, 1989
UBS FINANCIAL SERVICES INC.
September 30, 1988 - November 11, 1988
LEHMAN BROTHERS INC.
January 3, 1986 - February 1, 1988
SHEARSON PACIFIC
October 15, 1985 - August 6, 1986
LEHMAN BROTHERS INC.
November 22, 1983 - September 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/19/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 7/31/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HONEY BADGER INVESTMENT SECURITIES, LLC
CRD#: 285387 / SEC#: , 8-69838
Contact information
FINRA licenses (11 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEE, JOSEPH JAMES | CEO, MUNI PRINCIPAL, MANAGING MEMBER | 4495616 |
| THE LEE FAMILY TRUST | SHAREHOLDER, MEMBER | |
| LEE, JOSEPH JYH-CHUNG | TRUSTEE OF THE LEE FAMILY TRUST | 6712135 |
| LEE, SOU-LIN HELEN | TRUSTEE OF THE LEE FAMILY TRUST | 6712140 |
| ONESTO, RICHARD ERNEST | FINOP, PFO, POO | 2453096 |
| SWEENEY, BRIAN PATRICK | CCO | 4174087 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
