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Raymond S. Hanling

Some features on this profile are disabled
CRD#: 2385915
RH

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 Scott Hanling, who also goes by R. Scott Hanling, Raymond S Hanling, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1993. Raymond had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

R. Scott Hanling | Raymond S Hanling

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 29, 2016 - January 31, 2023

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

September 20, 2010 - December 4, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

July 28, 2008 - December 1, 2009

COMPASS EFFICIENT MODEL PORTFOLIOS, LLC

RIA
CRD#: 125568
MOUNT PLEASANT, SC
Past

July 10, 2008 - August 19, 2010

SAMUELS CHASE & CO., INC.

BD
CRD#: 36699
SANTA YSABEL, CA
Past

October 15, 2007 - May 22, 2008

MORGAN PEABODY, INC.

BD
CRD#: 38306
SHERMAN OAKS, CA
Past

November 9, 2006 - June 1, 2007

WFG ADVISORS, LP

RIA
CRD#: 125073
MT. PLEASANT, SC
Past

July 18, 2006 - June 1, 2007

WFG INVESTMENTS, INC.

BD
CRD#: 22704
DALLAS, TX
Past

March 9, 2006 - September 5, 2006

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

June 4, 2004 - September 21, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

June 3, 2004 - September 21, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
GREENWOOD, SC
Past

July 7, 2003 - December 1, 2003

JBS LIBERTY SECURITIES, INC.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

March 14, 1997 - November 13, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

October 6, 1993 - March 31, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/24/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1993
General Securities Representative Examination

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316

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