Raymond J. Forbes
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 Forbes was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1983. Raymond had worked at 4 firms and has passed the Series 65, Series 63, Series 87, Series 55, Series 7 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
September 5, 2007 - March 27, 2008
MILLENCO LLC
August 26, 1987 - February 5, 2014
E. H. SMITH JACOBS & CO., INC.
September 10, 1984 - March 7, 1985
JEFFERIES LLC
November 22, 1983 - July 5, 1984
NIKKO ALTERNATIVE ASSET MANAGEMENT, 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 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
MILLENCO LLC
CRD#: 33726 / SEC#: , 8-41161
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTEGRATED HOLDING GROUP, L.P. | MEMBER | |
| HUANG, DONGCHA | FINANCIAL OPERATIONS PRINCIPAL | 3152961 |
| LARKIN, JONATHAN RICHARD | MANAGING DIRECTOR | 2781180 |
| MESKIN, MARK ISRAEL | CHIEF EXECUTIVE OFFICER | 2358585 |
| OBERLIESEN, KIRK T | DIRECTOR | 2751967 |
| SCHWARTZ, MARTIN ZVI | CHIEF COMPLIANCE OFFICER | 4930538 |
| WILLIAMS, ROBERT ALLEN | CHIEF FINANCIAL OFFICER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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