RS
Raymond D. Soule
ASL CAPITAL MARKETS
Stamford, CT 06901
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CRD#: 5940607
RS
Professional summary
Raymond Dean Soule is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 2020. Raymond has worked at 1 firm and has passed the Series 27 exam.
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.
CRS (Client Relationship Summary) - BD
Click below to view Raymond Dean Soule's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 3, 2020 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901BD
CRD#: 286115
Stamford, CT
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
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Documents
Red Flags
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