Marvin S. Raphael
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.
Marvin Seymour Raphael was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1971. Marvin had worked at 6 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 1984 - November 13, 1987
BAKER, WATTS & CO., INC.
September 1, 1978 - April 5, 1982
LEGG MASON WOOD WALKER, INCORPORATED
April 28, 1976 - February 3, 1977
MOSELEY, HALLGARTEN & ESTABROOK INC
December 19, 1975 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
March 25, 1974 - July 31, 1975
WEDBUSH SECURITIES INC.
February 16, 1971 - May 30, 1973
BIRR, WILSON & CO., INC.
State Registrations and Notice Filings
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Current Firm
BAKER, WATTS & CO., INC.
CRD#: 68 / SEC#: , 8-39178
Contact information
Documents
Red Flags
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