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Robert Richard Raymond, who also goes by Rob R Raymond, Rob Richard Raymond, Rob Raymond, Robert R Raymond, Robert Raymond, is a registered financial professional at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Denver, Colorado.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (2)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
1670 Broadway Suite 2200, Denver Hub, Denver, CO, 80202-5602
1/2/2014 - Current
PREVIOUS EMPLOYERS (3)
J.P. MORGAN SECURITIES LLC (#79)
10/1/2012 - 12/24/2013
CHASE INVESTMENT SERVICES CORP. (#25574)
5/16/2012 - 10/1/2012
EDWARD JONES (#250)
8/22/2000 - 5/30/2001
St. Louis, MO
Robert Richard Raymond
Experience: 12 years / 4 firms
No current location data
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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