Raymond L. Gonzalez
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 Lemuel Gonzalez was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2016. Raymond had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2022 - January 24, 2024
SEABURY SECURITIES LLC
December 3, 2019 - March 28, 2022
FIRST CITIZENS CAPITAL SECURITIES, LLC
April 10, 2019 - August 9, 2019
JEFFERIES LLC
December 21, 2016 - April 1, 2019
FIRST CITIZENS CAPITAL SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SEABURY SECURITIES LLC
CRD#: 41916 / SEC#: , 8-49624
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
