Raymers F. Midouin
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.
Raymers Fritzgerald Midouin, who also goes by Ray Midouin, was a registered financial professional .
Raymers is a previously registered financial professional and started their career in finance in 1995. Raymers had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 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
December 28, 2015 - February 26, 2021
UBS SECURITIES LLC
March 24, 2015 - December 16, 2015
PFS INVESTMENTS INC.
November 24, 2004 - July 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - November 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 6, 1999 - May 8, 2000
CITICORP INVESTMENT SERVICES
June 9, 1997 - April 20, 1998
MORGAN STANLEY DW INC.
September 25, 1995 - February 1, 1996
GLOBAL STRATEGIES GROUP, INC.
September 25, 1995 - May 28, 1997
GKN SECURITIES CORP.
February 23, 1995 - June 26, 1995
CHATFIELD DEAN & CO., 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
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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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