Phillip Raby
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.
Phillip Raby, who also goes by Juno Raby, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1986. Phillip had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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 9, 2004 - April 3, 2014
UAS WEALTH ADVISORS
February 7, 2003 - July 8, 2005
UNIVERSAL ADVISORY SERVICES INC
April 11, 1995 - February 10, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 16, 1988 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
October 22, 1986 - August 22, 1988
CREDIT SUISSE SECURITIES (USA) LLC
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
UAS WEALTH ADVISORS
CRD#: 132903 / SEC#: 801-63572
Contact information
Regulatory assets under management
| Total Number of Accounts | 797 |
| AUM (Assets Under Management) | $ 398,815,242 |
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.
