Steven T. Raymond

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CRD#: 2185864

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.

Steven Thomas Raymond, who also goes by Steve Raymond, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Raymond

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 26, 2004 - December 31, 2025

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA

CRD#: 104925

RICHMOND, VA

Past

September 21, 1998 - December 14, 2007

NORTHEAST SECURITIES, LLC

CRD#: 25996

RICHMOND, VA

Past

January 28, 1995 - September 20, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 3, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

December 3, 1991 - June 9, 1994

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1991

General Securities Representative Examination

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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Contact information

Main Address

3300 W Leigh Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 320-8511

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 755,135,613

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.

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Firm Stability Insights

Steven T. Raymond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DORSEY, WRIGHT & ASSOCIATES, LLC

NORTHEAST SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

DORSEY, WRIGHT & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2004

Series 63

Date: 12/13/1991

Series 7

Date: 11/21/1991

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DORSEY, WRIGHT & ASSOCIATES, LLC

TRUST BUT VERIFY

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