Raymond J. Deacon
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 James Deacon was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1992. Raymond had worked at 12 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2016 - August 10, 2017
COKER & PALMER
May 2, 2014 - November 28, 2014
CANACCORD GENUITY LLC
June 9, 2011 - April 25, 2014
BREAN CAPITAL, LLC
August 14, 2008 - June 9, 2011
PRITCHARD CAPITAL PARTNERS, LLC
July 8, 2004 - July 7, 2008
BMO CAPITAL MARKETS CORP.
April 7, 2003 - July 12, 2004
GLEACHER & COMPANY SECURITIES, INC.
February 23, 2000 - September 3, 2002
RBC CAPITAL MARKETS, LLC
March 4, 1998 - January 11, 2000
CAPITAL ONE SECURITIES, INC.
October 10, 1997 - March 6, 1998
LOEWENBAUM & COMPANY INCORPORATED
November 21, 1996 - September 12, 1997
SALOMON BROTHERS INC.
June 12, 1992 - January 1, 1994
HORNBLOWER FISCHER & CO.
March 23, 1992 - May 20, 1992
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
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
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 244,065,071 |
Disclosures
| Regulatory Event | 7 |
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.
