Raymond F. Simmons
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 Forrest Simmons, CFP® was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2002. Raymond had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2011 - February 16, 2017
DRIVERS OF INVESTOR SATISFACTION INC.
April 27, 2010 - November 15, 2010
ARQUE CAPITAL, LTD.
April 24, 2010 - December 31, 2010
ARQUE CAPITAL, LTD.
April 25, 2007 - April 24, 2010
EMPIRE SECURITIES CORPORATION
February 11, 2004 - April 24, 2010
EMPIRE SECURITIES CORPORATION
January 31, 2003 - March 30, 2004
AVANTAX ADVISORY SERVICES
May 1, 2002 - March 12, 2004
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DRIVERS OF INVESTOR SATISFACTION INC.
CRD#: 155692 / SEC#:
Contact information
Red Flags
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