Raymond J. Malone
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 James Malone was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1987. Raymond had worked at 10 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2002 - November 14, 2002
WAMU INVESTMENTS, INC.
September 11, 1992 - May 1, 2002
DIME SECURITIES, INC.
June 5, 1992 - July 15, 1992
J. GREGORY & COMPANY, INC.
August 24, 1989 - April 26, 1990
A.J. MICHAELS & CO., LTD.
June 26, 1989 - August 29, 1989
STRATTON OAKMONT INC.
June 13, 1989 - September 8, 1989
STRATTON SECURITIES, INC.
April 18, 1989 - May 13, 1989
U.S. ADVISORS, INC.
March 29, 1989 - May 5, 1989
WELLSHIRE SECURITIES, INC.
August 5, 1988 - March 10, 1989
INVESTORS CENTER, INC.
December 22, 1987 - August 8, 1988
THE STUART-JAMES COMPANY, 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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
