Raymond H. Godfrey
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 Hoagland Godfrey JR, who also goes by Raymond Hoagland Godfredy Jr, Raymond H Godfrey Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1985. Raymond had worked at 10 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - April 24, 2014
WOOD (ARTHUR W.) COMPANY, INC.
June 12, 2012 - July 16, 2013
MERRIMAN CAPITAL, INC.
January 25, 2012 - May 22, 2012
SOURCE CAPITAL GROUP, INC.
August 3, 2011 - January 5, 2012
WJB CAPITAL GROUP, INC.
November 16, 2000 - September 17, 2010
NEEDHAM & COMPANY, LLC
January 30, 1998 - January 11, 2000
GRUNTAL & CO., L.L.C.
February 8, 1996 - February 3, 1998
HAMPSHIRE SECURITIES CORPORATION
July 25, 1995 - February 1, 1996
BLUESTONE CAPITAL CORP.
February 27, 1991 - July 26, 1995
LAIDLAW GLOBAL SECURITIES, INC.
October 25, 1988 - June 8, 1990
RODMAN & RENSHAW INC.
June 17, 1985 - October 31, 1988
NEEDHAM & COMPANY, LLC
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
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
