Raymond A. Herrera
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 Al Herrera was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1996. Raymond had worked at 5 firms and has passed the Series 63 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 14, 2007 - December 15, 2008
INVESTORS CAPITAL CORP.
April 21, 2003 - December 4, 2007
J.P. TURNER & COMPANY, L.L.C.
September 30, 1998 - February 14, 2002
BISHOP, ROSEN & CO., INC.
April 15, 1998 - October 7, 1998
BARINGTON CAPITAL GROUP, L.P.
March 22, 1996 - April 14, 1998
D. H. BLAIR & 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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.
