Raymond Amedee Dubuque
Professional Summary
Raymond Amedee Dubuque, who also goes by Raymond Dubuque, Reid Amedee Dubuque, was a registered financial advisor. Raymond was a previously registered financial advisor and started their career in finance 2002 - 2006. Raymond had worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Raymond Dubuque, Reid Amedee Dubuque
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
ADVANCED EQUITIES, INC | BHE SECURITIES, INC. | ADVANCED EQUITIES, INC.
Contact Information
Established
Indiana since 10/14/1993Firm Type
CorporationFiscal Year End
DecemberDocuments
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | — |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | ROSFP | 1552650 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
Regulatory Event
9Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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