Raymond H. Todd
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 Holmes Todd JR, who also goes by Raymond Holmes Todd, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1994. Raymond had worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2019 - March 12, 2021
OBERON SECURITIES, LLC
October 25, 1994 - July 14, 1995
CBA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 79TO
Date: 3/27/2019
Investment Banking Registered Representative ExaminationCurrent Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
Red Flags
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