Jeffrey M. Raxlin
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.
Jeffrey Michael Raxlin was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2002. Jeffrey had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 53 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
April 17, 2017 - January 5, 2021
OSAIC INSTITUTIONS, INC.
April 17, 2017 - January 5, 2021
OSAIC INSTITUTIONS, INC.
March 17, 2015 - May 2, 2017
OSAIC FS, INC.
March 12, 2015 - May 2, 2017
OSAIC FS, INC.
January 3, 2012 - August 20, 2013
OSAIC FS, INC.
January 3, 2012 - August 20, 2013
OSAIC FS, INC.
May 30, 2007 - November 30, 2011
EQUITABLE ADVISORS, LLC
May 30, 2007 - November 30, 2011
EQUITABLE ADVISORS, LLC
January 3, 2005 - May 29, 2007
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - May 29, 2007
TRUIST INVESTMENT SERVICES, INC.
August 11, 2003 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
August 11, 2003 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
January 8, 2003 - July 21, 2003
EQUITABLE ADVISORS, LLC
August 20, 2002 - July 21, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
