Raymond N. Garner
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 Noel Garner, who also goes by Ray N Garner, Ray Garner, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
November 6, 2018 - July 15, 2020
LIFEMARK SECURITIES CORP.
November 6, 2018 - July 15, 2020
LIFEMARK SECURITIES CORP.
February 1, 2011 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
November 8, 2010 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
November 10, 2008 - November 4, 2010
SPC
April 3, 2006 - November 4, 2010
PARKLAND SECURITIES, LLC
February 13, 2004 - April 5, 2006
OSAIC FS, INC.
August 9, 2001 - October 21, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 1, 1995 - August 10, 2001
CINCINNATI ANALYSTS, INC.
July 19, 1994 - January 1, 1996
1717 CAPITAL MANAGEMENT COMPANY
June 16, 1986 - November 9, 1994
COVENANT SECURITIES, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
