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RM

Raymond S. Mcgaugh

KIMBANK CAPITAL GROUP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2649886
RM

Professional summary

Raymond Scott Mcgaugh is a registered financial professional currently at KIMBANK CAPITAL GROUP, LLC located in Chicago, Illinois.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2006. Raymond has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 27 and Series 24 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) - BD

Click below to view Raymond Scott Mcgaugh's 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

November 13, 2025 - Present

KIMBANK CAPITAL GROUP, LLC

Office #1: 227 West Monroe Street Suite 2100, Chicago, IL 60606Office #2: 227 West Monroe Street Suite 2100, Chicago, IL 60606
BD
CRD#: 334558
Chicago, IL
Past

January 17, 2014 - April 3, 2024

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

April 8, 2010 - July 13, 2012

GARDNER RICH, L.L.C.

BD
CRD#: 23681
CHICAGO, IL
Past

June 22, 2006 - February 5, 2009

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL

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
RR
Series 63
Date: 12/8/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/30/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/22/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/30/2005
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KIMBANK CAPITAL GROUP, LLC
KIMBANK CAPITAL GROUP, LLC

CRD#: 334558 / SEC#: , 8-71321

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

Main Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 535-3149
Established
Illinois since 11/20/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KIMBLE, CLIFTONOWNER8040360
MCGAUGH, RAYMOND SCOTTCCO/AMLCO/EXECUTIVE REP2649886
LENART, BRIAN DOUGLASFINOP736107
MCGAUGH, AARON MICHAELPRINCIPAL6934891

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

KIMBANK CAPITAL GROUP, LLC

CRD#: 334558Chicago, IL 60606

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