Raymond A. Devivo
Professional summary
Raymond Albert Devivo was barred by the FINRA 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 1994. Prior to being barred, Raymond had worked at 8 firms, which includes REDWOOD TRADING LLC, NETGAIN TRADING LLC, C&N TRADING L.L.C., FIN-ATLANTIC SECURITIES INC., JOSEPH CHARLES & ASSOC. INC., AMERIPRISE ADVISOR SERVICES INC., THE AGEAN GROUP INC, THE WELLINGTON GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2003 - August 12, 2003
REDWOOD TRADING, LLC
October 3, 2002 - February 12, 2003
NETGAIN TRADING, LLC
February 6, 2002 - July 26, 2002
C&N TRADING, L.L.C.
December 24, 1996 - March 22, 2000
FIN-ATLANTIC SECURITIES, INC.
November 4, 1994 - November 19, 1996
JOSEPH CHARLES & ASSOC., INC.
September 29, 1994 - November 14, 1994
AMERIPRISE ADVISOR SERVICES, INC.
July 7, 1994 - September 6, 1994
THE AGEAN GROUP, INC
July 6, 1994 - July 8, 1994
THE WELLINGTON GROUP, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 12/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
REDWOOD TRADING, LLC
CRD#: 114774 / SEC#: , 8-53448
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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