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RM

Raymond J. Maratea

ALPINE SECURITIES
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 2538056
RM

Professional summary

Raymond Jerry Maratea, who also goes by Raymond J Maratea, is a registered financial professional currently at ALPINE SECURITIES CORPORATION located in Salt Lake City, Utah.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 1999. Raymond has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raymond J Maratea

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) - BD

Click below to view Raymond Jerry Maratea's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 22, 2021 - Present

ALPINE SECURITIES CORPORATION

Office #1: 39 Exchange Place, Salt Lake City, UT 84111
BD
CRD#: 14952
Salt Lake City, UT
Past

October 17, 2016 - September 1, 2021

WORLD CHOICE SECURITIES, INC.

BD
CRD#: 30933
COLUMBUS, OH
Past

July 4, 2013 - October 17, 2014

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
KENILWORTH, IL
Past

November 3, 2011 - January 9, 2012

STATETRUST INVESTMENTS INC.

BD
CRD#: 104651
BOCA RATON, FL
Past

February 28, 2008 - August 15, 2011

AXOS CLEARING LLC

BD
CRD#: 117176
OAKBROOK, IL
Past

July 30, 2004 - February 5, 2008

MYSTOCKFUND SECURITIES, INC.

BD
CRD#: 103956
RESTON, VA
Past

May 11, 1999 - December 31, 2003

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(7/22/2021)
RR
Texas
(7/6/2023)
RR
Utah
(7/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/2005
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: 5/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2009
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ALPINE SECURITIES CORPORATION
ALPINE SECURITIES CORPORATION

CRD#: 14952 / SEC#: , 8-31464

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

Main Address
39 Exchange Place, Salt Lake City, UT 84111
Mailing Address
39 Exchange Place, Salt Lake City, UT 84111
Phone number
(801) 320-1334
Established
Utah since 01/11/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 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#
SCA CLEARING LLCSOLE SHAREHOLDER
COSMAN, JAMES AARONFINOP7208854
FOX, ROBERT MICHAELCCO4420688
HURRY, JOHN JOSEPHCCO - INVESTMENT ADVISER2146449
MARATEA, RAYMOND JERRYCEO2538056
WALSH, JOSEPH PATRICKCOO1519958

Disclosures

Regulatory Event45
Civil Event2
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

ALPINE SECURITIES CORPORATION

CRD#: 14952Salt Lake City, UT 84111

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