Raymond J. Mccleary
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 Joseph Mccleary III, who also goes by Mccleary III, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 6 firms and has passed the Series 63, 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
November 20, 2014 - September 4, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
October 19, 1995 - October 10, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 22, 1994 - October 16, 1995
CEDAR STREET SECURITIES CORP.
April 24, 1990 - March 31, 1994
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 21, 1989 - April 5, 1990
KMS CORPORATE BROKERS, INC.
April 19, 1989 - November 15, 1989
JSC SECURITIES, INC.
January 21, 1986 - February 17, 1989
ASIEL & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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