Raymond A. Garbarini
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 A Garbarini was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1973. Raymond had worked at 11 firms and has passed the Series 66, Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2007 - October 28, 2009
NEXT FINANCIAL GROUP, INC.
June 18, 2007 - October 28, 2009
NEXT FINANCIAL GROUP, INC.
July 18, 2002 - April 30, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 30, 2007
CITIGROUP GLOBAL MARKETS INC.
May 18, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
August 25, 1989 - March 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - November 19, 1983
LEHMAN BROTHERS INC.
September 16, 1977 - June 25, 1979
PRUDENTIAL EQUITY GROUP, LLC
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 10, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
September 11, 1973 - December 10, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
September 6, 1973 - August 25, 1989
THOMSON MCKINNON SECURITIES 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
PC
Date: 5/14/1979
AMEX Put and Call ExamSeries 000
Date: 9/6/1973
General Securities Principal ExaminationSeries 1
Date: 9/4/1973
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
