Royce J. Raymond
Professional summary
Royce Joseph Raymond was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Royce is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Royce had worked at 6 firms, which includes SECURITIES SERVICE NETWORK LLC, CAPITAL FINANCIAL SERVICES INC., AMCORE INVESTMENT SERVICES INC, TRANSAMERICA FINANCIAL ADVISORS INC., EDWARD JONES, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2002 - March 9, 2005
SECURITIES SERVICE NETWORK, LLC
July 19, 1999 - February 12, 2002
CAPITAL FINANCIAL SERVICES, INC.
December 24, 1998 - August 2, 1999
AMCORE INVESTMENT SERVICES, INC
May 28, 1993 - December 16, 1998
CAPITAL FINANCIAL SERVICES, INC.
May 23, 1991 - December 31, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 10, 1987 - September 10, 1988
EDWARD JONES
November 10, 1986 - August 4, 1987
PRUCO SECURITIES, 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
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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