Raymond Otero
Professional summary
Raymond Otero, who also goes by Ray Otero, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1996. Raymond has worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond Otero's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2023 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 7th Avenue, New York, NY 10019March 7, 2022 - May 1, 2023
TREASURY BROKERAGE
November 11, 2015 - March 12, 2020
MORGAN STANLEY DISTRIBUTION, INC.
April 19, 2006 - November 24, 2015
UBS ASSET MANAGEMENT (US) INC.
December 1, 2005 - April 25, 2006
FRANKLIN DISTRIBUTORS, LLC
July 21, 1999 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 6, 1999 - July 8, 1999
CITICORP INVESTMENT SERVICES
July 2, 1996 - September 5, 1996
RICKEL & ASSOCIATES, INC.
June 18, 1996 - July 2, 1996
A. R. BARON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 82TO
Date: 5/22/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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