Raymond L. Dirks
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 Louis Dirks, who also goes by Raymond Louis Dirks Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1969. Raymond had worked at 13 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2004 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
August 16, 2002 - April 27, 2004
GRANTA CAPITAL GROUP LLC
February 15, 2000 - August 19, 2002
DIRKS & COMPANY, INC.
February 11, 1998 - January 28, 2000
ARJENT LTD.
November 13, 1995 - December 11, 1997
NATIONAL SECURITIES CORPORATION
March 10, 1995 - November 28, 1995
COLEMAN & COMPANY SECURITIES, INC.
May 1, 1992 - August 16, 1994
FAB SECURITIES OF AMERICA, INC.
February 2, 1987 - January 6, 1992
BAIRD, PATRICK & CO., INC.
October 23, 1985 - July 29, 1988
STEINBERG & LYMAN
September 13, 1976 - August 17, 1981
JOHN MUIR & CO.
January 21, 1976 - October 18, 1976
FRED ALGER & COMPANY, LLC
October 17, 1974 - July 30, 1975
BERNARD HEROLD & CO., INC.
May 19, 1969 - December 2, 1973
DELAFIELD CHILDS 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 1
Date: 9/28/1964
Registered Representative ExaminationSeries 00
Date: 4/29/1969
General Securities Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
