Raymond Sparrow
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 Sparrow was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2017. Raymond had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2019 - November 11, 2019
GLASSMAN WEALTH SERVICES, LLC
May 25, 2018 - June 10, 2019
WEST FINANCIAL SERVICES, INC.
February 7, 2018 - April 10, 2018
WEST FINANCIAL SERVICES, INC.
August 31, 2017 - February 6, 2018
1ST PORTFOLIO WEALTH ADVISORS
Primary Firm SEC Registration
GLASSMAN WEALTH SERVICES, LLC
CRD#: 151478 / SEC#: 801-70562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
GLASSMAN WEALTH SERVICES, LLC
CRD#: 151478 / SEC#: 801-70562
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,839 |
| AUM (Assets Under Management) | $ 2,194,308,982 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2025 | ||
| 11/27/2023 | ||
| 12/22/2022 |
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.
