Raymond L. Roton

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CRD#: 405805

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 Lanier Roton, who also goes by Ray Roton, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1982. Raymond had worked at 6 firms and has passed the Series 63, Series 1, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ray Roton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 28, 2004 - October 12, 2010

CREWS & ASSOCIATES, INC.

CRD#: 8052

MONTGOMERY, AL

Past

April 9, 2002 - June 14, 2004

COASTAL SECURITIES, INC.

CRD#: 27834

HOUSTON, TX

Past

June 25, 1998 - March 19, 2002

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

MEMPHIS (SHELBY), TN

Past

March 28, 1988 - January 27, 1998

BLOUNT PARRISH & COMPANY, INC.

CRD#: 16456

MONTGOMERY, AL

Past

April 8, 1985 - March 8, 1988

PORTER, WHITE & COMPANY, INC.

CRD#: 7925

Past

September 13, 1982 - September 17, 1985

ESSEX COMPANY

CRD#: 7598

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/7/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 10/26/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/8/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/1982

General Securities Principal Examination

Current Firm

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

521 President Clinton Avenue Suite 800, Little Rock, AR 72201

Mailing Address

P.o. Box 1696, Little Rock, AR 72203-1696

Phone number

(501) 907-2000

Established

Arkansas since 07/06/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

130

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CREWS & ASSOCIATES, INC. 2025 (5/7/2025)

Direct owners and executive officers

Name	Position	CRD#
CREWS CORE HOLDING COMPANY	OWNER
BEARDSLEY, SCOTT ARTHUR	SECRETARY OF THE BOARD	2349866
BUMPERS, JOSEPH PARROTT	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER	4336359
CLAY, DENNIS CHARLES	CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE	1233857
JONES, JAMES STEPHEN	PRESIDENT, DIRECTOR	502536
MEYER, DAMON CHRISTIAN	CHIEF COMPLIANCE OFFICER	4133916

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 149,386,233

Disclosures

Regulatory Event	15
Arbitration	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.

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Firm Stability Insights

Raymond L. Roton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COASTAL SECURITIES, INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BLOUNT PARRISH & COMPANY, INC.

PORTER, WHITE & COMPANY, INC.

ESSEX COMPANY

Primary Firm SEC Registration

CREWS & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1998

Series 1

Date: 10/26/1973

Series 53

Date: 1/8/1990

Series 24

Date: 7/23/1982

Current Firm

CREWS & ASSOCIATES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CREWS & ASSOCIATES, INC.

TRUST BUT VERIFY

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