Raymond L. Aretha
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 Luke Aretha, who also goes by Raymond Aretha, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 9 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2000 - January 3, 2017
BROADSTONE SECURITIES
March 13, 1997 - July 3, 2000
MEADOWBROOK SECURITIES INC.
June 28, 1991 - March 6, 1997
MORGAN STANLEY DW INC.
September 4, 1990 - June 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
June 16, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
July 16, 1986 - June 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 15, 1976 - June 17, 1986
FIRST OF MICHIGAN CORPORATION
July 30, 1973 - August 17, 1976
E. F. HUTTON & COMPANY INC
July 24, 1970 - September 3, 1973
F I DUPONT GLORE FORGAN & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 7/14/1977
AMEX Put and Call ExamSeries 1
Date: 4/22/1965
Registered Representative ExaminationCurrent Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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