Raymond W. Clark
Professional summary
Raymond William Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Raymond had worked at 8 firms, which includes ALEXANDER CAPITAL L.P., MONMOUTH CAPITAL MANAGEMENT LLC, GARDEN STATE SECURITIES INC., WOODSTOCK FINANCIAL GROUP INC., CHELSEA FINANCIAL SERVICES, J.P. TURNER & COMPANY L.L.C., GRAYSON FINANCIAL LLC, M.S. FARRELL & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2023 - July 26, 2023
ALEXANDER CAPITAL, L.P.
March 23, 2021 - June 9, 2023
MONMOUTH CAPITAL MANAGEMENT LLC
November 8, 2019 - March 24, 2021
GARDEN STATE SECURITIES, INC.
May 15, 2013 - December 2, 2019
WOODSTOCK FINANCIAL GROUP, INC.
April 20, 2012 - May 30, 2013
CHELSEA FINANCIAL SERVICES
April 28, 2003 - April 20, 2012
J.P. TURNER & COMPANY, L.L.C.
September 16, 1998 - May 23, 2003
GRAYSON FINANCIAL LLC
July 1, 1997 - October 2, 1998
M.S. FARRELL & COMPANY, 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
Series 62
Date: 6/26/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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