Raymond J. Stack
Professional summary
Raymond John Stack III is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 2011. Raymond has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond John Stack III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2023 - Present
B. RILEY SECURITIES, INC.
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171February 19, 2019 - April 12, 2023
CANACCORD GENUITY LLC
November 10, 2011 - February 15, 2019
MCLEAN SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/2/2023)
Exams
FINRA
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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