Raymond J. Gibbs
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 James Gibbs, who also goes by Ray Gibbs, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1982. Raymond had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1991 - April 28, 1993
DALTON STRATEGIC INVESTMENT SERVICES INC.
May 18, 1990 - December 31, 1990
TITAN/VALUE EQUITIES GROUP, INC.
March 1, 1990 - May 18, 1990
JONATHAN ALAN & CO., INC.
October 16, 1986 - March 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1982 - October 27, 1986
RAYMOND JAMES & ASSOCIATES, 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
Current Firm
DALTON STRATEGIC INVESTMENT SERVICES INC.
CRD#: 23485 / SEC#: , 8-40545
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
