Raymond J. Carcich
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 Joseph Carcich was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1988. Raymond had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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 1, 2013 - September 3, 2015
STONEX SECURITIES INC.
May 30, 2008 - February 28, 2012
CHASE INVESTMENT SERVICES CORP.
March 12, 2008 - February 28, 2012
CHASE INVESTMENT SERVICES CORP.
January 10, 2005 - June 9, 2006
WAMU INVESTMENTS, INC.
July 12, 2001 - December 17, 2004
HSBC BROKERAGE (USA) INC.
October 9, 2000 - July 10, 2001
LPL FINANCIAL LLC
October 22, 1996 - October 19, 2000
EDWARD JONES
June 1, 1992 - October 18, 1996
CITICORP INVESTMENT SERVICES
October 4, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
May 18, 1990 - October 17, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
June 13, 1989 - April 25, 1990
ROBERT THOMAS SECURITIES, INC
May 1, 1989 - June 23, 1989
WILLIAM M. CADDEN & CO., INC.
April 19, 1989 - June 28, 1989
LEGEND MERCHANT GROUP, INC.
November 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
July 19, 1988 - November 22, 1988
J. T. MORAN & 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
