Perry A. Raphan
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.
Perry Alan Raphan, who also goes by Perry A Raphan, was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 1993. Perry had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1998 - December 6, 2001
COMPREHENSIVE CAPITAL CORPORATION
April 6, 1998 - October 1, 1998
PROFESSIONAL CONCEPTS & PLANNING, INC.
March 7, 1998 - March 25, 1998
RENAISSANCE FINANCIAL SECURITIES CORP.
July 21, 1997 - February 12, 1998
JOSEPHTHAL & CO., INC.
April 1, 1997 - April 14, 1997
MORGAN GRANT CAPITAL CORP.
February 6, 1996 - March 4, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
November 26, 1993 - February 29, 1996
LADENBURG CAPITAL MANAGEMENT INC.
April 21, 1993 - November 24, 1993
H G I
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPREHENSIVE CAPITAL CORPORATION
CRD#: 6215 / SEC#: , 8-17087
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
