Raymond D. Smego
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 Douglas Smego, CFP®, who also goes by Ray Smego, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2008. Raymond had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2014 - September 23, 2016
MARINER WEALTH ADVISORS
December 18, 2013 - June 10, 2014
FIRST SOUTHWEST COMPANY, LLC
February 22, 2013 - December 3, 2013
CURIAN CAPITAL, LLC
October 6, 2010 - December 3, 2013
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 15, 2008 - October 4, 2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARINER WEALTH ADVISORS
CRD#: 165759 / SEC#: 801-77253
Contact information
Documents
Red Flags
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