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Armand Bernard St Raymond

Armand B. St Raymond

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CRD#: 2904912
Armand Bernard St Raymond

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.

Armand Bernard St Raymond, who also goes by Armand Bernard Straymond, was a registered financial professional .

Armand is a previously registered financial professional and started their career in finance in 1997. Armand had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Family Finances
Retirement Planning Strategies
Estate Planning Strategies
Are you a "fiduciary"?
No

Aliases

Armand Bernard Straymond

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) Summit Financial d/b/a Garrett, Perkins & Horton Advisory Partners. Investment Related. At Registered Location. RIA. Financial Advisor. Start Date: 11/17/2023. 40 hrs/ month; 160 hrs/ month during trading hours. Provide advice to clients. 2) Fixed Insurance. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 11/17/2023. 40 hrs/month; all during trading hours. Sales of fixed / traditional insurance products. 3) PKSF. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 11/17/2023. 40 hrs/month; all during trading hours. Sales of fixed / traditional insurance products.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2024 - December 20, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Birmingham, AL
Past

January 4, 2024 - December 11, 2024

SUMMIT FINANCIAL, LLC

RIA
CRD#: 299322
BIRMINGHAM, AL
Past

September 11, 1997 - January 16, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Birmingham, AL
Past

August 26, 1997 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 26, 1997 - January 16, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Birmingham, AL

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: 8/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1997
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

Associate Financial AdvisorCRD#: 35747

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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