Raymond Tierney
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.
Raymond Tierney, who also goes by Raymond Moran Tierney III, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1981. Raymond had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2022 - November 27, 2023
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
November 16, 2018 - February 1, 2022
FIRST LIBERTIES FINANCIAL
July 26, 2016 - March 31, 2017
BLOOMBERG TRADEBOOK LLC
April 7, 2010 - March 5, 2015
BLOOMBERG TRADEBOOK LLC
November 28, 2006 - March 9, 2010
INVESCO CAPITAL MARKETS, INC.
October 31, 2006 - March 9, 2010
MORGAN STANLEY DISTRIBUTION, INC.
April 18, 1994 - December 1, 2006
MORGAN STANLEY & CO. LLC
June 19, 1991 - April 8, 1994
UBS SECURITIES LLC
February 3, 1986 - June 4, 1991
CREDIT SUISSE SECURITIES (USA) LLC
November 25, 1981 - February 18, 1986
UBS FINANCIAL SERVICES INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
