Raymond W. Austin
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 W Austin, CFP®, who also goes by Raymond Willis Austin, 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 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2020 - April 1, 2022
P.J. ROBB VARIABLE, LLC
October 16, 2013 - March 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2013 - March 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2009 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
November 22, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 22, 2004 - March 6, 2009
MSI FINANCIAL SERVICES, INC.
July 21, 2003 - December 14, 2004
INTERNATIONAL PLANNING ALLIANCE, LLC
May 3, 1999 - November 17, 2004
PARK AVENUE SECURITIES LLC
April 28, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
September 9, 1996 - April 2, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 1994 - September 16, 1996
AVANTAX INVESTMENT SERVICES, INC.
March 10, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 10, 1992 - January 28, 1994
PRUCO SECURITIES, LLC.
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
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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