Raymond R. India
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 Richard India was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1993. Raymond had worked at 3 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
May 7, 1996 - October 25, 1996
PROGRAM TRADING CORP.
June 5, 1995 - August 26, 1996
AMERICAN INVESTMENT SERVICES, INC.
September 27, 1993 - July 19, 1995
ALARON SECURITIES CORPORATION
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
PROGRAM TRADING CORP.
CRD#: 36740 / SEC#: , 8-47439
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AARON INVESTMENT GROUP, INC | SHAREHOLDER | |
| FOX, WILLIAM ARTHUR | FINOP | 1838232 |
| GRINBERG, ROBERT MARK | DIRECTOR & CEO | 2157971 |
| PARNAS, LEV | DIRECTOR & PRESIDENT | 2418073 |
| WELLS, DAVID FRANKLIN | SROP/CROP | 1879688 |
| WELLS, DAVID FRANKLIN | AML COMPLIANCE OFFICER | 1879688 |
| WELLS, DAVID FRANKLIN | CHIEF COMPLIANCE OFFICER | 1879688 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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