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Raymond E. Spoljaric

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CRD#: 4473632
RS

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 Eugene Spoljaric was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2001. Raymond had worked at 5 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

August 27, 2013 - May 27, 2014

TS IMAGINE BROKERAGE SERVICES, LLC

BD
CRD#: 146283
NEW YORK, NY
Past

February 24, 2010 - January 2, 2013

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
NEW YORK, NY
Past

August 8, 2006 - September 2, 2008

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

April 6, 2005 - May 9, 2005

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

November 20, 2001 - December 16, 2003

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/21/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 2/8/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/19/2001
General Securities Representative Examination

Current Firm

TI
TS IMAGINE BROKERAGE SERVICES, LLC
TRADINGSCREEN BROKERAGE SERVICES LLC | TS IMAGINE BROKERAGE SERVICES, LLC

CRD#: 146283 / SEC#: , 8-67807

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
125 West 25th Street 8th Floor, New York, NY 10001
Mailing Address
125 West 25th Street 8th Floor, New York, NY 10001
Phone number
(212) 359-4100
Established
Delaware since 12/14/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TELOS INTERMEDIATE INC.DIRECT OWNER/SOLE MEMBER
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS OFFICER PRINCIPAL1121231
EVANS, TREVER MICHAELCEO/CCO7758070
PEACHWAY, KATHERINE ACFO4996512

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.

Company Information

TS IMAGINE BROKERAGE SERVICES, LLC

CRD#: 146283

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