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RK

Raymond R. Kripaitis

Some features on this profile are disabled
CRD#: 1471956
RK

Professional summary

Raymond Robert Kripaitis JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Raymond is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Raymond had worked at 7 firms, which includes DUNWOODY BROKERAGE SERVICES INC., JOSEPHTHAL & CO. INC., DONALD & CO. SECURITIES INC., CROWN FINANCIAL GROUP INC., PRINCETON FINANCIAL GROUP INC., NETWORK 1 FINANCIAL SECURITIES INC., MONMOUTH INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Kripaitis

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

August 6, 1996 - March 5, 1997

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

December 6, 1991 - April 30, 1996

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

October 22, 1991 - November 12, 1991

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

October 10, 1990 - September 27, 1991

CROWN FINANCIAL GROUP, INC.

BD
CRD#: 540
JERSEY CITY, NJ
Past

June 21, 1990 - November 1, 1990

PRINCETON FINANCIAL GROUP, INC.

BD
CRD#: 14597
Past

July 22, 1988 - July 16, 1990

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
RED BANK, NJ
Past

May 12, 1986 - July 23, 1988

MONMOUTH INVESTMENTS, INC.

BD
CRD#: 14047

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: 6/2/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/15/1991
General Securities Principal Examination

Current Firm

DB
DUNWOODY BROKERAGE SERVICES, INC.
DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183 / SEC#: , 8-45423

BD
Cancelled by SEC on 04/26/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 12/07/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRONNUM, DWIGHT BENNOSECRETARY703299
HOPKINS, ROBERT LEEPRESIDENT249943

Disclosures

Regulatory Event1
Arbitration2

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.

Company Information

DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183

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