Raymond E. Jeffs
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 Edward Jeffs, who also goes by Ray Jeffs, 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 66, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2006 - March 22, 2014
CORNERSTONE INVESTMENT SERVICES
February 22, 2006 - April 5, 2006
CANTELLA & CO., INC.
January 18, 2006 - December 31, 2013
CANTELLA & CO., INC.
September 15, 2001 - January 24, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 5, 1999 - September 15, 2001
HOWARD WEIL 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
CORNERSTONE INVESTMENT SERVICES
CRD#: 129164 / SEC#: 801-66355
Contact information
Regulatory assets under management
| Total Number of Accounts | 87 |
| AUM (Assets Under Management) | $ 52,853,238 |
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.
