Raymond Key
Professional summary
Raymond Key, who also goes by R Scott Key, Raymond Scott Key, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in The Woodlands, Texas.
Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Raymond has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Key's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2020 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 1450 Lake Robbins Dr Ste 400, The Woodlands, TX 77380July 16, 2018 - December 13, 2019
CEROS FINANCIAL SERVICES, INC.
June 20, 2016 - May 18, 2017
VALIC FINANCIAL ADVISORS, INC.
June 20, 2016 - May 18, 2017
VALIC FINANCIAL ADVISORS, INC.
October 5, 2010 - June 14, 2016
ADVISORS ASSET MANAGEMENT, INC.
July 26, 2010 - June 14, 2016
ADVISORS ASSET MANAGEMENT, INC.
September 18, 2007 - March 3, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 15, 2004 - August 20, 2007
ICON DISTRIBUTORS, INC.
February 22, 2002 - May 12, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1997 - May 12, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 1993 - December 20, 1994
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/20/2020)
(10/20/2020)
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600The Woodlands, TX 77380TRUST BUT VERIFY
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