Raymond A. Erker
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 Adam Erker, who also goes by Ray Erker, Raymond A Erker, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1999. Raymond had worked at 11 firms and has passed the Series 63, Series 65, Series 7, Series 6 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
August 16, 2012 - October 24, 2019
SAGEGUARD WEALTH MANAGEMENT, INC.
February 3, 2012 - July 12, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 2010 - October 14, 2011
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
October 5, 2010 - October 14, 2011
J.P. TURNER & COMPANY, L.L.C.
March 11, 2003 - November 3, 2010
LPL FINANCIAL LLC
March 10, 2003 - November 3, 2010
LPL FINANCIAL LLC
January 3, 2002 - March 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2001 - March 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2000 - March 2, 2001
CETERA WEALTH SERVICES, LLC
December 10, 1999 - July 24, 2000
DIAMOND HILL SECURITIES, INC.
June 30, 1999 - December 3, 1999
OSAIC FA, INC.
January 4, 1999 - July 9, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 4, 1999 - July 9, 1999
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SAGEGUARD WEALTH MANAGEMENT, INC.
CRD#: 158748 / SEC#:
Contact information
Red Flags
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