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RM

Raymond A. Mccoy

Some features on this profile are disabled
CRD#: 4577286
RM

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 Alexander Mccoy, CFP® was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2003. Raymond had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 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®
CFP®

Certified Financial Planner

Experience

Past

April 21, 2023 - July 3, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
FORT MILL, SC
Past

February 4, 2020 - July 3, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

February 4, 2020 - July 3, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 9, 2011 - January 23, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CHARLOTTE, NC
Past

March 9, 2011 - January 23, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

August 3, 2009 - January 21, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
DENVER, CO
Past

August 3, 2009 - January 21, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
DENVER, CO
Past

March 5, 2009 - May 21, 2009

TOWNSEND

RIA
CRD#: 113681
WESTMINSTER, CO
Past

February 3, 2009 - April 24, 2009

SECURITIES AMERICA, INC.

BD
CRD#: 10205
WESTMINSTER, CO
Past

August 2, 2007 - December 26, 2008

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
DENVER, CO
Past

August 1, 2007 - December 26, 2008

SECURITIES AMERICA, INC.

BD
CRD#: 10205
MERIDIAN, ID
Past

February 28, 2007 - July 16, 2007

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DAPHNE, AL
Past

September 7, 2004 - December 31, 2006

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

October 16, 2003 - October 1, 2004

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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
IAR
Series 65
Date: 5/2/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/2/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/2/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 6/27/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/20/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/28/2008
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/1/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/9/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/2005
General Securities Principal Examination

Current Firm

LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
SHEEHAN, RICHARD STEVENSVP, CHIEF COMPLIANCE OFFICER3096567

Regulatory assets under management

Total Number of Accounts114,002
AUM (Assets Under Management)$ 18,862,098,900

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report

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

LPL ENTERPRISE, LLC

CRD#: 8733

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