Raimundo C. Archibold
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.
Raimundo Clovis Archibold JR, CFA was a registered financial professional .
Raimundo is a previously registered financial professional and started their career in finance in 1989. Raimundo had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 16 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
July 10, 2019 - July 30, 2019
ASHLAND SECURITIES, LLC
April 18, 2011 - October 31, 2018
AVALON SECURITIES, LTD.
September 22, 2010 - March 15, 2011
DEMOPOLIS CAPITAL INC.
March 9, 2009 - June 11, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 6, 2007 - December 3, 2008
KAUFMAN BROS., L.P.
February 8, 2002 - January 6, 2006
LEVCO SECURITIES, INC.
May 1, 2001 - February 8, 2002
J.P. MORGAN SECURITIES INC.
April 25, 1997 - May 1, 2001
JPMSI
March 22, 1996 - April 10, 1997
BMO CAPITAL MARKETS CORP.
September 2, 1992 - March 12, 1996
FIRST MANHATTAN SECURITIES LLC
March 21, 1989 - November 11, 1992
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASHLAND SECURITIES, LLC
CRD#: 297523 / SEC#: , 8-70133
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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