Ray Esposito
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.
Ray Esposito, who also goes by Raymond Esposito, was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1992. Ray had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2022 - November 3, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 16, 2022 - October 30, 2023
FIDELITY BROKERAGE SERVICES LLC
May 4, 2009 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 4, 2009 - January 11, 2021
TD AMERITRADE, INC.
May 4, 2009 - January 11, 2021
TD AMERITRADE, INC.
September 22, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 2005 - October 1, 2008
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 13, 1997 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
October 9, 1995 - March 7, 1997
DIME SECURITIES, INC.
November 25, 1992 - October 5, 1995
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
