Raymond A. Yakaitis
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 Albert Yakaitis JR, who also goes by Raymond A Jr Yakaitis, Raymond Albert Yakaitis, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1992. Raymond had worked at 11 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
February 17, 2017 - April 12, 2018
BROOKSTONE WEALTH ADVISORS, LLC
January 1, 2016 - February 14, 2017
HORTER INVESTMENT MANAGEMENT, LLC
October 3, 2008 - December 31, 2015
INVESTMENT ADVISORS CORP
December 13, 2006 - December 31, 2015
BROKER DEALER FINANCIAL SERVICES CORP.
December 18, 2003 - November 24, 2006
OSAIC FA, INC.
December 18, 2003 - March 30, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 18, 2003 - November 24, 2006
OSAIC FA, INC.
February 21, 2003 - November 19, 2003
MAIN STREET MANAGEMENT COMPANY
September 4, 1997 - November 19, 2003
MAIN STREET MANAGEMENT COMPANY
June 11, 1996 - September 3, 1997
LPL FINANCIAL LLC
March 15, 1993 - May 30, 1996
WS GRIFFITH SECURITIES, INC.
November 6, 1992 - March 15, 1993
VP DISTRIBUTORS LLC
June 11, 1992 - June 17, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
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
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
Contact information
SEC notice filing (52 States and Territories)
Documents
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.
