Raymond S. Panek

ODIORNE POINT ASSET MANAGEMENT

Portsmouth, NH 03801

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CRD#: 2259565

Professional summary

Raymond Scott Panek, who also goes by Ray Panek, is a registered financial advisor currently at ODIORNE POINT ASSET MANAGEMENT, LLC located in Portsmouth, New Hampshire.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Raymond has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Panek

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.

1) Nationwide Life and Annuity Insurance Company; Investment related: Yes; Location: 1 W Nationwide Blvd Ste 100 Columbus, OH, 43215-2752 United States; Description: Consider Life Insurance or Annuity solutions that may fit the needs of my clients.; Position Title: Licensed Insurance Agent / Financial Advisor; Responsibilities Duties: Evaluate products and offer the features & benefits to my clients when prudent; Start date: 2022-06; Hours per month during trading hours: 4; Hours per month outside trading hours: 2.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Scott Panek's CRS (Customer Relationship Summary).

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

Current

April 24, 2023 - Present

ODIORNE POINT ASSET MANAGEMENT, LLC

Office #1: 155 Fleet Street, Portsmouth, NH 03801

RIA

CRD#: 324617

Portsmouth, NH

Past

September 24, 2019 - September 7, 2023

ESTATE PLANNERS OF NEW ENGLAND, LLC

RIA

CRD#: 133353

PORTSMOUTH, NH

Past

May 23, 2018 - July 3, 2019

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

Portsmouth, NH

Past

September 29, 2011 - July 3, 2019

PEOPLE'S SECURITIES, INC.

RIA

CRD#: 13704

DURHAM, NH

Past

September 23, 2009 - July 3, 2019

PEOPLE'S SECURITIES, INC.

CRD#: 13704

DURHAM, NH

Past

March 18, 2009 - October 28, 2009

CHITTENDEN SECURITIES, LLC.

CRD#: 45190

PORTSMOUTH, NH

Past

July 9, 2002 - January 14, 2009

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

October 30, 2001 - June 18, 2002

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

December 15, 1995 - July 17, 2001

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

September 21, 1993 - June 23, 1995

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/7/2024)

IAR

Maine
(8/28/2023)

IAR

New Hampshire
(4/24/2023)

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: 9/28/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ODIORNE POINT ASSET MANAGEMENT, LLC

LAWRENCE LEGACY GROUP LLC | ODIORNE POINT ASSET MANAGEMENT, LLC

CRD#: 324617 / SEC#:

Florida

Registered Investment Advisory firm - (8/7/2024 Approved)

Maine

Registered Investment Advisory firm - (8/28/2023 Approved)

New Hampshire

Registered Investment Advisory firm - (4/20/2023 Approved)

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Contact information

Main Address

155 Fleet Street, Portsmouth, NH 03801

Mailing Address

Phone number

(603) 502-8585

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 52,167,000

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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Advisor Monitoring

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Raymond S. Panek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Scott Panek's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESTATE PLANNERS OF NEW ENGLAND, LLC

PEOPLE'S UNITED ADVISORS, INC.

PEOPLE'S SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

CHITTENDEN SECURITIES, LLC.

DIRECTED SERVICES LLC

INVESCO DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

MFS FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/2011

Series 63

Date: 9/23/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2009

Series 6

Date: 9/20/1993

Current Firm

ODIORNE POINT ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ODIORNE POINT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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