Raymond A. Thomas
Professional summary
Raymond Alexander Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Raymond had worked at 16 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., NEWPORT COAST SECURITIES INC., LEGEND SECURITIES INC., EMERALD INVESTMENTS INC., SUCCESS TRADE SECURITIES INC., LEMPERT BROTHERS INTERNATIONAL USA INC., AURA FINANCIAL SERVICES INC., FIRST MONTAUK SECURITIES CORP., U.S. SECURITIES & FUTURES CORP., WESTOR CAPITAL GROUP INC., SEABOARD SECURITIES INC., PACIFIC CONTINENTAL SECURITIES CORPORATION, MORGAN TAYLOR & ASSOCIATES INC., PACIFIC CORTEZ SECURITIES INCORPORATED, INSTITUTIONAL EQUITY CORPORATION, BISHOP ALLEN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2013 - March 14, 2018
NETWORK 1 FINANCIAL SECURITIES INC.
March 16, 2011 - December 31, 2012
NEWPORT COAST SECURITIES, INC.
December 4, 2009 - February 15, 2011
LEGEND SECURITIES, INC.
June 30, 2006 - December 23, 2009
EMERALD INVESTMENTS, INC.
April 19, 2006 - July 12, 2006
SUCCESS TRADE SECURITIES, INC.
August 29, 2005 - April 3, 2006
LEMPERT BROTHERS INTERNATIONAL USA, INC.
June 23, 2004 - August 26, 2005
AURA FINANCIAL SERVICES, INC.
May 9, 2003 - June 24, 2004
FIRST MONTAUK SECURITIES CORP.
September 4, 2001 - May 1, 2003
U.S. SECURITIES & FUTURES CORP.
January 31, 2001 - June 16, 2004
WESTOR CAPITAL GROUP, INC.
May 4, 1999 - January 31, 2001
SEABOARD SECURITIES, INC.
August 5, 1998 - December 15, 1998
PACIFIC CONTINENTAL SECURITIES CORPORATION
December 23, 1997 - August 13, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
June 16, 1997 - December 19, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
April 28, 1997 - May 20, 1997
INSTITUTIONAL EQUITY CORPORATION
April 7, 1997 - April 30, 1997
BISHOP, ALLEN, INC.
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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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