Joseph R. Racz
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.
Joseph Robert Racz, who also goes by Jay Racz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - December 31, 2016
RACZ FINANCIAL SERVICES
December 12, 2007 - August 16, 2010
SPC
December 12, 2007 - August 16, 2010
SIGMA FINANCIAL CORPORATION
October 30, 2006 - December 17, 2007
LPL FINANCIAL LLC
October 30, 2006 - December 17, 2007
LPL FINANCIAL LLC
September 23, 2002 - November 2, 2006
WADDELL & REED
June 11, 2002 - November 2, 2006
WADDELL & REED
July 22, 1996 - May 21, 2002
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RACZ FINANCIAL SERVICES
CRD#: 153915 / SEC#:
Contact information
Red Flags
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