Raymond J. Karlson
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 John Karlson JR, who also goes by Raymond John Karlson, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1983. Raymond had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 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
December 4, 2009 - March 29, 2021
EAGLE STRATEGIES LLC
January 8, 1999 - March 29, 2021
NYLIFE SECURITIES LLC
November 18, 1987 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 18, 1987 - February 19, 1998
SIGNATOR INVESTORS, INC.
August 8, 1983 - July 15, 1986
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
