Raymond T. Kern
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 Turner Kern, who also goes by Ray Kern, Raymond T Kern, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1998. Raymond had worked at 8 firms and has passed the Series 66, SIE 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
January 10, 2014 - December 18, 2014
PATRICK CAPITAL MARKETS, LLC
September 3, 2013 - February 5, 2014
BIC DISTRIBUTORS, LLC
March 30, 2012 - September 5, 2013
MORGAN STANLEY
March 30, 2012 - September 5, 2013
MORGAN STANLEY
July 16, 2010 - April 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 15, 2010 - April 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2009 - November 3, 2009
LPL FINANCIAL LLC
June 1, 2009 - November 3, 2009
LPL FINANCIAL LLC
August 19, 2008 - January 5, 2009
ABERDEEN FUND DISTRIBUTORS, LLC
September 8, 2004 - August 8, 2008
EQUITABLE DISTRIBUTORS, LLC
March 20, 2001 - September 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1998 - September 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
