Raymond J. Markman
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 Jerome Markman, who also goes by Ray Markman, was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1988. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
June 5, 2018 - December 31, 2020
GREAT POINT CAPITAL LLC
January 12, 2017 - June 27, 2017
RAINMAKER SECURITIES, LLC
January 4, 2011 - July 20, 2011
PATRICK CAPITAL MARKETS, LLC
March 31, 2008 - January 5, 2009
FOCUSPOINT PRIVATE CAPITAL GROUP
December 8, 2005 - April 12, 2006
MILESTONE FINANCIAL SERVICES, INC.
September 17, 1997 - March 15, 2004
OSAIC WEALTH, INC.
November 19, 1989 - March 15, 2004
OSAIC WEALTH, INC.
April 25, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
