Raymond L. Morton
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 Lee Morton was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1987. Raymond had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - December 12, 2018
KINGSWOOD CAPITAL PARTNERS, LLC
August 26, 2016 - September 13, 2018
ACCELERATED CAPITAL GROUP
September 28, 2009 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
July 25, 2007 - October 1, 2009
SECURITIES AMERICA, INC.
June 29, 2007 - July 16, 2007
WEDBUSH SECURITIES INC.
May 22, 2000 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
March 1, 1989 - May 23, 2000
MUTUAL SECURITIES, INC.
October 3, 1988 - March 10, 1989
PFG SECURITIES, INC.
February 26, 1987 - October 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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