Raymond L. Bennett

ADAM DOTY COMPANY

Waco, TX

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CRD#: 1057019

Professional summary

Raymond Leroy Bennett is a registered financial advisor currently at ADAM DOTY COMPANY located in Waco, Texas.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Raymond has worked at 5 firms and has passed the Series 65, Series 2, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Retirement Plan Market Adaptive Portfolios, non-investment related, Waco, TX, Informational/educational aid to Retirment plan participants, Owner, 02/2021, 20 hours per month, aid to Retirement Plan participants who have limited knowledge of financial market dynamics and their impact on their retirement portfolios

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Leroy Bennett's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 22, 2021 - Present

ADAM DOTY COMPANY

RIA

CRD#: 315125

Waco, TX

Past

December 12, 1986 - May 8, 1987

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

January 4, 1986 - January 7, 1987

UR FINANCIAL, INC.

CRD#: 10509

Past

September 9, 1982 - July 24, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

September 9, 1982 - July 24, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 1/20/1988

Non-Member General Securities Examination

General Industry/Product Exam

Series 22

Date: 5/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADAM DOTY COMPANY

ADAM DOTY COMPANY | POLYTECHNIC RESEARCH OPERATIONS LLC

CRD#: 315125 / SEC#:

Texas

Registered Investment Advisory firm - (12/22/2021 Approved)

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Contact information

Main Address

Waco, TX

Mailing Address

Phone number

(281) 728-0025

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 414,854

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.

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Raymond L. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Leroy Bennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADAM DOTY COMPANY

PAMCO SECURITIES AND INSURANCE SERVICES

UR FINANCIAL, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2020

Series 2

Date: 1/20/1988

Series 22

Date: 5/9/1984

Series 6

Date: 9/7/1982

Current Firm

ADAM DOTY COMPANY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADAM DOTY COMPANY

TRUST BUT VERIFY

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