Raymond A. Stein
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 Anton Stein, who also goes by Ray Stein, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2002. Raymond had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2017 - November 27, 2018
INFINITE WEALTH MANAGEMENT
January 27, 2015 - May 11, 2017
KEY INVESTMENT SERVICES LLC
October 1, 2013 - January 16, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - January 16, 2015
BBVA SECURITIES INC.
July 24, 2012 - January 8, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 23, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 5, 2011 - July 13, 2012
NATIONAL PLANNING CORPORATION
June 23, 2010 - July 13, 2012
NATIONAL PLANNING CORPORATION
March 7, 2008 - November 4, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 27, 2005 - January 24, 2008
WELLS FARGO INVESTMENTS, LLC
July 7, 2005 - January 24, 2008
WELLS FARGO INVESTMENTS, LLC
July 19, 2002 - July 26, 2004
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
INFINITE WEALTH MANAGEMENT
CRD#: 284513 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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