Raymond J. Cosman
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 James Cosman, who also goes by Ray Cosman, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 9 firms and has passed the Series 63, SIE, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2020 - July 29, 2020
DC ADVISORY
March 18, 2016 - October 1, 2018
TCG SECURITIES, L.L.C.
April 5, 2011 - June 3, 2015
MACQUARIE CAPITAL (USA) INC.
November 3, 2000 - July 29, 2010
CREDIT SUISSE SECURITIES (USA) LLC
March 10, 1994 - September 20, 2002
PERSHING LLC
December 13, 1983 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1976 - November 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 10, 1972 - November 26, 1976
ARTHUR WIESENBERGER & COMPANY, INC.
December 4, 1970 - March 16, 1972
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
PC
Date: 9/20/1977
AMEX Put and Call ExamSeries 1
Date: 11/25/1970
Registered Representative ExaminationCurrent Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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.
