Raymond A. Urci
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 Anthony Urci, who also goes by Raymond A Urci, Raymond Anthony Urci Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1990. Raymond had worked at 6 firms and has passed the Series 63, Series 56, Series 55, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - May 28, 2014
MERUS CAPITAL PARTNERS, LLC
March 14, 2011 - September 25, 2013
CHIMERA SECURITIES, LLC
November 15, 2006 - November 7, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
November 11, 1991 - March 14, 1997
AMERIPRISE ADVISOR SERVICES, INC.
October 15, 1990 - October 31, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 6, 1990 - September 11, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 10/26/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 1/18/2007
Limited Representative-Equity Trader ExamSeries 8
Date: 2/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERUS CAPITAL PARTNERS, LLC
CRD#: 158884 / SEC#: , 8-68937
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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