Michael S. Raub
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.
Michael Scott Raub, who also goes by Mike Raub, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3 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
March 17, 2015 - August 31, 2021
LOOMIS SAYLES DISTRIBUTORS, L.P.
November 28, 2013 - December 22, 2014
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
February 22, 2006 - December 11, 2007
STONEBRIDGE INVESTMENT PARTNERS, LLC
March 9, 2005 - July 29, 2005
STERLING CAPITAL DISTRIBUTORS, LLC
June 4, 1998 - August 18, 2004
COLUMBIA FINANCIAL CENTER INCORPORATED
August 26, 1991 - July 21, 1993
CONFEDERATION FINANCIAL SERVICES (U.S.), INC.
March 27, 1990 - April 30, 1991
OAK BROOK SECURITIES CORP.
April 26, 1989 - November 13, 1989
CAPITAL FINANCIAL SERVICES, INC.
February 19, 1986 - March 8, 1988
CINCINNATI ANALYSTS, INC.
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
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795 / SEC#: , 8-49575
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS SAYLES & COMPANY, L.P. | LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER | |
| KLOCEK, JOHN FRANCIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6256015 |
| LEGER, MAURICE PAUL | PRESIDENT | 4575004 |
| LOOMIS SAYLES DISTRIBUTORS, INC. | SOLE GENERAL PARTNER | |
| MCCARTHY, MARY | VP, SECRETARY | |
| O'CONNOR, OLGA A. | VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 7436902 |
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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