Raymond K. Smith
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 Kevin Smith, who also goes by Kevin Smith, R Kevin Smith, Raymond Kevin Smith II, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1999. Raymond had worked at 4 firms and has passed the Series 63, SIE, Series 3 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
March 14, 2023 - December 3, 2024
HOLLISTER ASSOCIATES, LLC
February 26, 2021 - March 2, 2023
EQUUS FINANCIAL CONSULTING LLC
March 12, 2019 - April 1, 2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 16, 2005 - March 7, 2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 29, 2004 - June 15, 2005
LEHMAN BROTHERS INC.
March 30, 1999 - July 1, 2004
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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