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Raymond Forsyth Devoe Jr

CRD# 66720·Registered 1969 - 2014
Previously Registered: Being a previously registered professional could mean that Raymond 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.

Professional Summary

Raymond Forsyth Devoe JR was a registered financial advisor. Raymond was a previously registered financial professional and started their career in finance 1969 - 2014. Raymond had worked at 8 firms and has passed the Series 63, PC and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

57 years in the financial services industry

Current & Past Employments

GRACE FINANCIAL GROUP LLC·CRD# 104133
BD
Southhampton, NY
June 16, 2008 - February 24, 2014
JESUP & LAMONT SECURITIES CORP·CRD# 39056
BD
Edison, NJ
June 30, 2004 - May 30, 2008
LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555
BD
Baltimore, MD
November 3, 1987 - July 9, 2004
LEGG MASON MASTEN INC.·CRD# 2
BD
October 30, 1987 - November 3, 1987
LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555
BD
August 23, 1981 - October 30, 1987
BRUNS, NORDEMAN, REA & CO.·CRD# 6589
BD
September 5, 1979 - September 4, 1981
LOEB PARTNERS·CRD# 7534
BD
January 18, 1978 - August 23, 1979
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED·CRD# 7394
BD
May 5, 1977 - January 18, 1978
SPENCER TRASK & CO. INCORPORATED·CRD# 782
BD
January 25, 1969 - May 5, 1977

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Current Firm

GF
GRACE FINANCIAL GROUP LLC

GRACE FINANCIAL GROUP LLC | M.V.P. SECURITIES LLC | M.V.P. FINANCIAL LLC

CRD#: 104133 / SEC#: 8-52606
BD
Terminated by SEC on 07/06/2015

Contact Information

Established

Delaware since 03/28/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WINDMILL MANAGEMENT GROUP LLCMEMBER—
VILLANTE, BRIAN RICHARDCEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER2187792
OBSBAUM, FREDRIC MICHAELFINOP1160811

Disclosures

Regulatory Event

6

Arbitration

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1988About the Series 63 exam

PC — AMEX Put and Call Exam

Passed Jun 1977

Series 00 — General Securities Principal Examination

Passed Jan 1969

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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