Raymond T. Clark
Professional summary
Raymond Thomas 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 1998. Prior to being barred, Raymond had worked at 7 firms, which includes DYNASTY CAPITAL PARTNERS INC., FIRST MIDWEST SECURITIES INC., PAULSON INVESTMENT COMPANY LLC, J.P. TURNER & COMPANY L.L.C., GVC CAPITAL LLC, GLOBAL CAPITAL SECURITIES CORPORATION, GLOBAL CAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - August 7, 2014
DYNASTY CAPITAL PARTNERS, INC.
May 1, 2009 - August 2, 2010
FIRST MIDWEST SECURITIES, INC.
December 3, 2008 - May 15, 2009
PAULSON INVESTMENT COMPANY LLC
June 29, 2007 - January 2, 2009
J.P. TURNER & COMPANY, L.L.C.
November 1, 2005 - July 2, 2007
GVC CAPITAL LLC
March 28, 2002 - November 3, 2005
J.P. TURNER & COMPANY, L.L.C.
January 2, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
September 17, 1998 - January 2, 2001
GLOBAL CAPITAL MARKETS, 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
Series 62
Date: 9/11/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
DYNASTY CAPITAL PARTNERS, INC.
CRD#: 122806 / SEC#: , 8-65532
Contact information
Documents
Disclosures
| Civil 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.
