RC
Raymond N. Carota
BRANDYWINE FINANCIAL GROUP
BLUE BELL, PA 19422
Some features on this profile are disabled
CRD#: 2784250
RC
Professional summary
Raymond Noah Carota, who also goes by Ray Strohm, Raymond Noah Strohm Jr, is a registered financial advisor currently at BRANDYWINE FINANCIAL GROUP, INC. located in Blue Bell, Pennsylvania.
Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Raymond has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Strohm | Raymond Noah Strohm Jr
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.
1. BRANDYWINE FINANCIAL GROUP (RIA) - MR. CAROTA IS THE SOLE OWNER AND CHIEF COMPLIANCE OFFICER OF THIS ENTITY WHICH HANDLES THE FINANCIAL MANAGEMENT AND INVESTMENT RESPONSIBILITIES OF CLIENT ACCOUNTS.
2. 1ST SERGEANT MANAGEMENT COMPANY, LLC.- HOLDING COMPANY OF SHARES OF VARIOUS PLANET FITNESS HEALTH CLUB LOCATIONS LOCATED IN CALIFORNIA. MR. CAROTA DEVOTES 1 HOUR A MONTH TO THIS ACTIVITY, HE IS A PASSIVE INVESTOR AND HOLDS NO MANAGEMENT DUTIES NOR RESPONSIBILITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Noah Carota'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®
NoneExperience
Current
November 17, 2003 - Present
BRANDYWINE FINANCIAL GROUP, INC.
Office #1: 1777 Sentry Parkway West Suite 205, Merion Towle Bldg., Blue Bell, PA 19422RIA
CRD#: 127344
BLUE BELL, PA
Past
October 11, 2024 - November 2, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
Sarasota, FL
Past
May 13, 2004 - December 19, 2012
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK , NY
Past
April 7, 2004 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Sarasota, FL
Past
November 21, 2001 - June 28, 2004
THE AMBROSE FINANCIAL GROUP, INC.
RIA
CRD#: 108395
CHADDS FORD, PA
Past
September 26, 2001 - April 29, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 17, 1997 - October 2, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 15, 1997 - November 18, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 15, 1997 - November 18, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BRANDYWINE FINANCIAL GROUP, INC.
BRANDYWINE FINANCIAL GROUP | BRANDYWINE FINANCIAL GROUP, INC.
CRD#: 127344 / SEC#: 801-120393
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Delaware
Registered Investment Advisory firm - (3/3/2022 Terminated)Florida
Registered Investment Advisory firm - (3/2/2022 Terminated)Louisiana
Registered Investment Advisory firm - (2/3/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (3/31/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/2/2022 Terminated)Texas
Registered Investment Advisory firm - (3/2/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Delaware(2/26/2007)
IAR
Florida(5/6/2015)
IAR
Maryland(7/2/2018)
IAR
New Jersey(3/7/2006)
IAR
Pennsylvania(11/17/2003)
IAR
Tennessee(2/24/2025)
IAR
Texas(2/27/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BF
BRANDYWINE FINANCIAL GROUP, INC.
BRANDYWINE FINANCIAL GROUP | BRANDYWINE FINANCIAL GROUP, INC.
CRD#: 127344 / SEC#: 801-120393
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Delaware
Registered Investment Advisory firm - (3/3/2022 Terminated)Florida
Registered Investment Advisory firm - (3/2/2022 Terminated)Louisiana
Registered Investment Advisory firm - (2/3/2017 Terminated)Maryland
Registered Investment Advisory firm - (3/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (3/31/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/2/2022 Terminated)Texas
Registered Investment Advisory firm - (3/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Thompsons Station, TN
Mailing Address
Phone number
(610) 828-1155
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 437 |
| AUM (Assets Under Management) | $ 99,381,696 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
