Raymond F. Connors
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 Francis Connors, who also goes by Raymond Nf Connors, Zoom Connors, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1990. Raymond had worked at 8 firms and has passed the Series 63, Series 7 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
January 2, 2004 - May 6, 2005
GRANITE ASSOCIATES, INC
November 7, 2000 - January 21, 2004
HARRISON SECURITIES, INC.
April 28, 1997 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 20, 1997 - May 8, 1997
TASIN & COMPANY, INC.
August 27, 1993 - February 21, 1997
COMPREHENSIVE CAPITAL CORPORATION
July 30, 1992 - August 27, 1993
FIRST MONTAUK SECURITIES CORP.
August 29, 1990 - August 4, 1992
PARAGON CAPITAL MARKETS, INC.
April 24, 1990 - June 26, 1990
ROYCE INVESTMENT GROUP, 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
GRANITE ASSOCIATES, INC
CRD#: 46682 / SEC#: , 8-51511
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
