Raymond E. Orteig
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 Elie Orteig III, who also goes by Raymond Elie Orteig, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1969. Raymond had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 1992 - August 22, 2003
WORLD FIRST FINANCIAL SERVICES, INC.
April 20, 1989 - January 9, 1992
LEGG MASON WOOD WALKER, INCORPORATED
December 3, 1981 - April 25, 1989
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1972 - December 16, 1981
SCHRODER & CO. INC.
May 27, 1971 - January 25, 1972
WERTHEIM & CO.
September 15, 1969 - June 19, 1971
LAIRD BISSELL AND MEEDS INC
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
PC
Date: 5/23/1977
AMEX Put and Call ExamSeries 1
Date: 2/4/1959
Registered Representative ExaminationCurrent Firm
WORLD FIRST FINANCIAL SERVICES, INC.
CRD#: 1612 / SEC#: , 8-20392
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Bond | 2 |
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.
