Michael J. Raya
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 James Raya, who also goes by Mike Raya, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1986. Michael had worked at 11 firms and has passed the Series 65, Series 63, 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
March 2, 2012 - August 30, 2012
ESSEX NATIONAL SECURITIES, LLC
March 14, 2008 - June 4, 2010
ESSEX NATIONAL SECURITIES, LLC
March 7, 2008 - December 31, 2013
ESSEX NATIONAL SECURITIES, LLC
July 20, 2007 - March 4, 2008
CHASE INVESTMENT SERVICES CORP.
July 19, 2007 - March 4, 2008
CHASE INVESTMENT SERVICES CORP.
June 15, 2000 - July 16, 2007
NATCITY INVESTMENTS, INC.
March 29, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
November 16, 1998 - July 16, 2007
NATCITY INVESTMENTS, INC.
January 16, 1998 - January 20, 1998
CAPSTONE INVESTMENTS
November 22, 1995 - January 29, 1996
FFP SECURITIES, INC.
October 20, 1994 - July 18, 1995
CETERA INVESTMENT SERVICES LLC
March 3, 1994 - October 17, 1994
AMERIPRISE ADVISOR SERVICES, INC.
August 19, 1992 - April 19, 1994
AVANTAX INVESTMENT SERVICES, INC.
April 22, 1991 - July 31, 1992
CAPITAL BROKERAGE CORPORATION
August 21, 1986 - March 25, 1991
NEW ENGLAND SECURITIES
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
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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