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Raymond L. Adams

Some features on this profile are disabled
CRD#: 2526288
RA

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 Leighton Adams, CFP® was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1994. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Past

January 22, 2016 - March 28, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
Kirkland, WA
Past

December 28, 2015 - January 28, 2016

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
Kirkland, WA
Past

December 28, 2015 - January 28, 2016

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Kirkland, WA
Past

October 9, 2009 - December 28, 2015

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
Kirkland, WA
Past

October 9, 2009 - December 28, 2015

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
Kirkland, WA
Past

September 14, 2007 - October 16, 2009

INSPHERE SECURITIES, INC.

RIA
CRD#: 136433
KIRKLAND, WA
Past

July 23, 2007 - September 14, 2007

ALLEGIS ADVISORS, INC.

RIA
CRD#: 131242
SALT LAKE CITY, UT
Past

July 23, 2007 - October 16, 2009

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
KIRKLAND, WA
Past

January 4, 2002 - August 9, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
RENTON, WA
Past

April 18, 2000 - January 24, 2002

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

November 3, 1994 - April 12, 2000

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA

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: 12/30/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/1994
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: 7/31/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/2/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
ALLEGIS INVESTMENT SERVICES, LLC
ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557 / SEC#: , 8-69318

BD
Terminated by SEC on 07/02/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Idaho since 05/29/2013
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MILLER, CHRISTOPHER MICHAELCEO/MEMBER3065670
BOWEN, HEATH SHAYNEMEMBER4824684
COMPAGNO, STACI ANNCHIEF COMPLIANCE OFFICER2824392
PIERCE, BRIAN CHRISTOPHERCFO/FINOP6252375

Disclosures

Arbitration1

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

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557

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