Raymond P. Dowd
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 Paul Dowd was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1988. Raymond had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 4, Series 27 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 31, 2012 - July 30, 2013
MOODY CAPITAL SOLUTIONS, INC
January 15, 2008 - August 25, 2010
ASG SECURITIES, INC.
January 15, 1996 - January 26, 2006
US EURO SECURITIES, INC
June 21, 1993 - February 5, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
October 11, 1991 - June 3, 1992
UBS FINANCIAL SERVICES INC.
August 14, 1991 - October 1, 1991
CHADWICK FINANCIAL GROUP, INC.
April 17, 1991 - August 13, 1991
TRADEPORTAL SECURITIES, INC.
August 20, 1990 - November 28, 1990
WENTWORTH SECURITIES, INC.
September 26, 1988 - August 30, 1990
REMINGTON SECURITIES, INC.
February 17, 1988 - September 26, 1988
L.M. DREW & ASSOCIATES
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
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
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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