Raymond Morales
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.
Raymond Morales JR, who also goes by Christopher Raymond Knight, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1998. Raymond had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2001 - January 17, 2002
METROPOLITAN LIFE INSURANCE COMPANY
May 1, 2001 - January 17, 2002
MSI FINANCIAL SERVICES, INC.
November 22, 2000 - April 23, 2001
EASTBROOK CAPITAL GROUP LLC
April 6, 2000 - August 28, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
October 19, 1999 - March 20, 2000
TRADE.COM ONLINE SECURITIES, INC.
April 30, 1999 - March 30, 2000
GLENN MICHAEL FINANCIAL, INC.
September 10, 1998 - December 3, 1998
PRIME CHARTER LTD.
July 28, 1998 - August 24, 1998
EASTBROOK CAPITAL GROUP LLC
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
Current Firm
METROPOLITAN LIFE INSURANCE COMPANY
CRD#: 4095 / SEC#: , 8-14901
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | 100% SHAREHOLDER | |
| BARNETTE, CURTIS HANDLEY | DIRECTOR | |
| DOLE, BURTON A | DIRECTOR | |
| GRISE, CHERYL | DIRECTOR | |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER & ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HENRIKSON, CARL ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT & CHAIRMAN OF THE BOARD | 243239 |
| HOLTZER, DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 4345697 |
| HOUGHTON, JAMES RICHARDSON | DIRECTOR | |
| JOURNY, TIMOTHY LYONS | SENIOR VICE PRESIDENT AND GENERAL AUDITOR | |
| KAMEN, HARRY PAUL | DIRECTOR | 1545937 |
| KANDARIAN, STEVEN ALBERT | EXECUTIVE VICE PRESIDENT & CIO | |
| KAPLAN, HELENE L | DIRECTOR | |
| KEANE, JOHN M. | DIRECTOR | |
| KILTS, JAMES | DIRECTOR | |
| LEIGHTON, CHARLES | DIRECTOR | |
| LIPSCOMB, JAMES LOUIS | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | |
| MATHEWS, SYLVIA | DIRECTOR | |
| MULLANEY, WILLIAM JOSEPH | PRESIDENT, INSTITUTIONAL BUSINESS | 2641484 |
| PRICE, HUGH BERNARD | DIRECTOR | |
| REIN, CATHERINE AMELIA | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2605134 |
| SICCHITANO, KENTON JOSEPH | DIRECTOR | |
| STEERE, WILLIAM CAMPBELL | DIRECTOR | |
| TOPPETA, WILLIAM JOHN | PRESIDENT, INTERNATIONAL | 2835140 |
| VIETRI, MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT | 1068983 |
| WEBER, LISA M | PRESIDENT, INDIVIDUAL BUSINESS | |
| WHEELER, WILLIAM JAMES | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 1208521 |
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
