Raymond Hernandez
Professional summary
Raymond Hernandez JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Raymond had worked at 7 firms, which includes CITICORP INVESTMENT SERVICES, DONALD & CO. SECURITIES INC., H.J. MEYERS & CO. INC., GLOBAL CAPITAL MARKETS LLC, FIRST UNITED EQUITIES CORPORATION, D. H. BLAIR & CO. INC., A. R. BARON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1999 - October 13, 2000
CITICORP INVESTMENT SERVICES
November 20, 1998 - October 27, 1999
DONALD & CO. SECURITIES INC.
January 15, 1998 - October 5, 1998
H.J. MEYERS & CO., INC.
December 17, 1997 - January 5, 1998
GLOBAL CAPITAL MARKETS, LLC
June 19, 1997 - December 15, 1997
FIRST UNITED EQUITIES CORPORATION
January 14, 1994 - May 23, 1997
D. H. BLAIR & CO., INC.
November 26, 1993 - January 6, 1994
A. R. BARON & CO., INC.
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
Series 8
Date: 12/29/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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