Raymond J. Stein

NEW LIGHT FINANCIAL

Englewood, CO 80112

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CRD#: 6364830

Professional summary

Raymond John Stein, who also goes by Raymond Stein, is a registered financial advisor currently at NEW LIGHT FINANCIAL located in Englewood, Colorado.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Raymond has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raymond Stein

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.

1) NEW LIGHT SERVICES LLC; NON-INVESTMENT RELATED; 9800 MOUNT PYRAMID COURT SUITE 340, ENGLEWOOD, CO 80112; LICENSED INSURANCE AGENT; START DATE: 06/2023; 160 HOURS PER MONTH, DURING TRADING HOURS; I SELL ANNUITIES AND LIFE INSURANCE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond John Stein'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®

None

Experience

Current

June 23, 2023 - Present

NEW LIGHT FINANCIAL

Office #1: 9800 Mt Pyramid Court Suite 340, Englewood, CO 80112

RIA

CRD#: 325546

Englewood, CO

Past

August 9, 2019 - April 12, 2023

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

WESTMINSTER, CO

Past

July 1, 2014 - August 13, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

BOULDER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(6/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/11/2013

Uniform Investment Adviser Law Examination

Current Firm

NEW LIGHT FINANCIAL

NEW LIGHT FINANCIAL | NEW LIGHT FINANCIAL LLC

CRD#: 325546 / SEC#:

Colorado

Registered Investment Advisory firm - (6/23/2023 Approved)

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Contact information

Main Address

9800 Mt Pyramid Court Suite 340, Englewood, CO 80112

Mailing Address

Phone number

(303) 524-5223

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	208
AUM (Assets Under Management)	$ 27,437,168

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.

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Raymond J. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond John Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW LIGHT FINANCIAL

APO FINANCIAL SERVICES, LLC

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2013

Current Firm

NEW LIGHT FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW LIGHT FINANCIAL

TRUST BUT VERIFY

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