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ER

Eugene F. Raia

Some features on this profile are disabled
CRD#: 1365986
ER

Professional summary

Eugene Francis Raia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eugene is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Eugene had worked at 12 firms, which includes SEABOARD SECURITIES INC., H.J. MEYERS & CO. INC., SPENCER-WINSTON SECURITIES CORPORATION, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., HIGHLANDER CAPITAL GROUP INC., PAULSON INVESTMENT COMPANY LLC, ESCALATOR SECURITIES INC., DOUGLAS BREMEN & CO. INC., A. G. EDWARDS & SONS INC., DREXEL BURNHAM LAMBERT INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eugene F Raia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 12, 1998 - December 10, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

December 16, 1997 - May 7, 1998

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

June 23, 1997 - September 2, 1997

SPENCER-WINSTON SECURITIES CORPORATION

BD
CRD#: 8300
NEW YORK, NY
Past

September 19, 1994 - April 9, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 31, 1993 - September 28, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 12, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 27, 1991 - September 26, 1991

HIGHLANDER CAPITAL GROUP, INC.

BD
CRD#: 19074
SHORT HILLS, NJ
Past

July 6, 1989 - April 7, 1990

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

April 6, 1989 - June 10, 1989

ESCALATOR SECURITIES, INC.

BD
CRD#: 16985
Past

November 23, 1988 - April 6, 1989

DOUGLAS BREMEN & CO., INC.

BD
CRD#: 13186
Past

March 15, 1988 - November 25, 1988

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

February 12, 1986 - April 18, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

September 5, 1985 - February 8, 1986

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/30/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 5/13/1985
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/2000
General Securities Principal Examination

Current Firm

SS
SEABOARD SECURITIES, INC.
SEABOARD SECURITIES, INC. | THE SEABOARD PLANNING CORPORATION

CRD#: 755 / SEC#: , 8-44373

BD
Cancelled by SEC on 07/25/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 08/16/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DIGIOVANNI, ANTHONY JOSEPHPRESIDENT, SENIOR REGISTERED OPTIONS PRINCIPAL, COMPLIANCE REGISTERED OPTIONS PRINCIPAL601698
PUZO, NICHOLASFINANCIAL OPERATIONS PRINCIPAL4698260
STILL, SONYA TEREZCHIEF COMPLIANCE OFFICER4235212

Disclosures

Regulatory Event26
Arbitration8
Bond1

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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Company Information

SEABOARD SECURITIES, INC.

CRD#: 755

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