Raymond J. Duling
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 Joseph Duling, who also goes by Joe Duling, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1991. Raymond had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
January 12, 2011 - November 30, 2022
OAKWOOD CAPITAL SECURITIES, INC.
March 31, 2003 - December 31, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 1, 2001 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
February 23, 1993 - May 11, 2001
IDS LIFE INSURANCE COMPANY
February 23, 1993 - May 11, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 1991 - February 23, 1993
MARQUETTE FINANCIAL 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
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
