Raymond W. Harrison
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 Willis Harrison, who also goes by Ray Harrison, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1992. Raymond had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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
August 18, 2014 - September 24, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 18, 2014 - September 24, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 8, 2012 - December 11, 2014
HARVEST INVESTMENT SERVICES, LLC
January 8, 2002 - September 15, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2002 - September 15, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 29, 2001 - December 31, 2001
ONEAMERICA SECURITIES, INC.
July 21, 1999 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
November 25, 1998 - June 29, 2001
LONDON PACIFIC SECURITIES, INC.
April 20, 1995 - December 2, 1998
MAIN STREET MANAGEMENT COMPANY
November 13, 1992 - May 31, 1995
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
