Wayne M. Raymond
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.
Wayne Matthew Raymond, who also goes by Wayne Matthew Raymond Sr, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1996. Wayne had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2019 - February 2, 2022
SPARTAN CAPITAL SECURITIES, LLC
August 30, 2017 - March 19, 2019
WORDEN CAPITAL MANAGEMENT LLC
February 11, 2014 - July 5, 2017
PHX FINANCIAL, INC.
November 27, 2013 - February 4, 2014
HALCYON CABOT PARTNERS, LTD.
September 2, 2004 - September 17, 2013
ANDREW GARRETT INC.
February 21, 2003 - September 27, 2004
BERRY-SHINO SECURITIES, INC.
September 7, 2001 - January 22, 2003
WOLFF INVESTMENT GROUP INCORPORATED
June 22, 2001 - July 27, 2001
JOSEPH STEVENS & CO., INC.
April 4, 2001 - April 5, 2001
LADENBURG THALMANN & CO. INC.
July 1, 1999 - March 2, 2001
JOSEPHTHAL & CO., INC.
June 15, 1998 - October 26, 1998
M.S. FARRELL & COMPANY, INC.
July 9, 1997 - July 31, 1997
SCHNEIDER SECURITIES, INC.
May 19, 1997 - June 19, 1997
INVESTORS ASSOCIATES, INC.
March 25, 1997 - April 14, 1997
MILLENNIUM SECURITIES CORP.
January 2, 1997 - January 21, 1997
THE THERMOPYLAE GROUP, INC.
September 19, 1996 - February 14, 1997
GLOBAL CAPITAL MARKETS, LLC
May 23, 1996 - October 1, 1996
STRATTON OAKMONT 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
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
