Raymond F. Conlon
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 Frederick Conlon, CFP®, who also goes by Ray F Conlon, Ray Conlon, Raymond F Conlon, Raymond Frederick Conlon, Raymond Conlon, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1989. Raymond had worked at 17 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 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
Start date: 2013
Experience
October 1, 2019 - April 14, 2020
VANGUARD ADVISERS, INC.
March 16, 2018 - April 14, 2020
VANGUARD MARKETING CORPORATION
May 10, 2017 - September 1, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
May 10, 2017 - September 1, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 22, 2016 - May 3, 2017
RETIREONE INVESTMENT SERVICES, LLC
January 13, 2015 - May 3, 2017
EDELMAN FINANCIAL SERVICES, LLC
January 8, 2015 - April 22, 2016
SANDERS MORRIS LLC
May 27, 2013 - April 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2013 - April 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
October 4, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
September 22, 2008 - August 10, 2009
LPL FINANCIAL LLC
September 19, 2008 - August 10, 2009
LPL FINANCIAL LLC
October 20, 2005 - September 23, 2008
CETERA INVESTMENT ADVISERS LLC
October 20, 2005 - September 23, 2008
CETERA FINANCIAL SPECIALISTS LLC
September 11, 2003 - December 19, 2003
VOYA INVESTMENTS DISTRIBUTOR, LLC
June 9, 1998 - August 11, 2003
NATIXIS DISTRIBUTION, LLC
January 20, 1997 - June 11, 1998
AMG DISTRIBUTORS, INC.
December 12, 1994 - February 8, 1995
CAPITAL BROKERAGE CORPORATION
March 31, 1992 - June 23, 1994
CHARLES SCHWAB & CO., INC.
February 14, 1992 - March 30, 1992
CAPITAL BROKERAGE CORPORATION
July 18, 1989 - February 21, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 7TO
Date: 10/1/2022
General Securities Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
