Zenon G. Rawley
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.
Zenon George Rawley, who also goes by Zeno Rawley, was a registered financial professional .
Zenon is a previously registered financial professional and started their career in finance in 1989. Zenon had worked at 9 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1997 - July 2, 1999
BAXTER BANKS & SMITH, LTD.
August 18, 1994 - December 7, 1995
SUNAMERICA SECURITIES, INC.
July 5, 1994 - August 19, 1994
SECURITIES SERVICE NETWORK, LLC
November 12, 1993 - July 6, 1994
AEGON USA SECURITIES INC.
February 2, 1993 - October 26, 1993
WALNUT STREET SECURITIES, INC.
June 16, 1992 - April 13, 1993
OSAIC WEALTH, INC.
December 4, 1991 - February 11, 1992
CONSECO EQUITY SALES, INC.
July 30, 1991 - June 19, 1992
ASSET MANAGEMENT SECURITIES CORP.
October 4, 1989 - February 27, 1991
PFS INVESTMENTS 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
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
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.
