Raymond J. 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 Joseph Smith was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 10 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
March 31, 2009 - December 31, 2012
ALLIED BEACON PARTNERS, INC.
April 21, 1993 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
May 13, 1985 - April 12, 1993
UBS FINANCIAL SERVICES INC.
April 14, 1980 - May 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
January 6, 1977 - April 21, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
August 18, 1975 - February 6, 1976
DREXEL BURNHAM & COINC
February 6, 1975 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
November 8, 1974 - October 8, 1975
SHEARSON HAYDEN STONE INC.
March 14, 1973 - November 8, 1974
HAYDEN STONE INC.
September 11, 1970 - March 14, 1973
HAYDEN STONE 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: 1/1/1978
AMEX Put and Call ExamSeries 1
Date: 5/24/1968
Registered Representative ExaminationCurrent Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
