Raymond B. Anderson
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 Bruce Anderson was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1972. Raymond had worked at 4 firms and has passed the Series 63, Series 5, Series 1, Series 4 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
January 25, 1978 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
December 6, 1977 - February 28, 2000
MORGAN STANLEY DW INC.
March 3, 1977 - January 17, 1978
LOEB RHOADES & CO. INC.
October 11, 1972 - March 16, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 10/4/1972
Registered Representative ExaminationCurrent firm
No current employment
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.
