Raymond J. Derobbio
Professional summary
Raymond John Derobbio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Raymond had worked at 15 firms, which includes CANTONE RESEARCH INC., USTOCKTRADE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., ANDREW ALEXANDER WISE & COMPANY INCORPORATED, PRIME CAPITAL SERVICES INC., SCHNEIDER SECURITIES INC., H.J. MEYERS & CO. INC., JOSEPHTHAL & CO. INC., REICH & CO. INC., RICKEL & ASSOCIATES INC., ADVEST INC., HERBERT J. SIMS & CO INC., THOMSON MCKINNON SECURITIES INC., J.P. MORGAN SECURITIES LLC, HERETH ORR & JONES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - July 3, 2023
CANTONE RESEARCH INC.
July 10, 2012 - June 26, 2013
USTOCKTRADE SECURITIES, INC.
June 16, 2006 - July 3, 2012
J.P. TURNER & COMPANY, L.L.C.
February 18, 2003 - June 19, 2006
CANTONE RESEARCH INC.
February 3, 2003 - February 19, 2003
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
April 1, 2002 - January 30, 2003
PRIME CAPITAL SERVICES, INC.
April 19, 1998 - April 2, 2002
SCHNEIDER SECURITIES, INC.
May 10, 1994 - April 21, 1998
H.J. MEYERS & CO., INC.
February 3, 1994 - April 29, 1994
JOSEPHTHAL & CO., INC.
October 15, 1991 - January 1, 1994
REICH & CO., INC.
May 8, 1990 - October 7, 1991
RICKEL & ASSOCIATES, INC.
March 10, 1988 - June 8, 1990
ADVEST, INC.
August 29, 1987 - April 7, 1988
HERBERT J. SIMS & CO, INC.
July 30, 1984 - August 20, 1987
THOMSON MCKINNON SECURITIES INC.
January 5, 1984 - July 24, 1984
J.P. MORGAN SECURITIES LLC
March 23, 1983 - December 27, 1983
HERETH, ORR & JONES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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