Ross Raymond
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.
Ross Raymond II was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1985. Ross had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 1986 - May 20, 1987
ROTAN MOSLE INC.
September 24, 1985 - October 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1985 - September 3, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROTAN MOSLE INC.
CRD#: 727 / SEC#: , 8-18226
Contact information
Documents
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.
