Raymond J. Foster
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 John Foster was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 000, Series 1, Series 12, F04, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1991 - June 22, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1987 - November 20, 1991
LEHMAN BROTHERS INC.
September 2, 1983 - October 5, 1987
ADVEST, INC.
December 3, 1982 - February 20, 1985
ROCHESTER FUND DISTRIBUTORS
February 5, 1982 - September 6, 1983
MOSELEY SECURITIES CORPORATION
June 1, 1978 - July 31, 1985
FOSTER & CO. EQUITIES, INC.
September 12, 1973 - July 14, 1978
QUINBY & CO., INCORPORATED
January 26, 1971 - October 13, 1973
BACHE & CO INCORPORATED
April 20, 1970 - February 7, 1971
GEORGE D. B. BONBRIGHT & CO.
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 15
Date: 12/30/1994
Foreign Currency Options ExaminationSeries 5
Date: 12/28/1994
Interest Rate Options ExaminationSeries 000
Date: 6/21/1968
General Securities Principal ExaminationSeries 1
Date: 11/24/1965
Registered Representative ExaminationSeries 12
Date: 2/5/1982
NYSE Branch Manager ExaminationF04
Date: 9/2/1977
Financial Principal ExaminationSeries 00
Date: 1/4/1974
General Securities Principal ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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