Raymond O. Nist
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 Oneill Nist was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1980. Raymond had worked at 13 firms and has passed the Series 55 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
July 26, 1995 - February 1, 2002
KNIGHT CAPITAL AMERICAS, L.P.
November 27, 1992 - July 31, 1995
CROWN FINANCIAL GROUP, INC.
May 14, 1991 - October 16, 1992
WALL STREET EQUITIES INCORPORATED
January 12, 1990 - April 9, 1991
WM. V. FRANKEL & CO., INCORPORATED
February 22, 1989 - November 15, 1989
HUDSON SECURITIES,INC.
May 24, 1988 - January 17, 1989
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 12, 1985 - May 24, 1988
TROSTER SINGER CORPORATION
December 24, 1984 - February 11, 1985
GREENTREE SECURITIES CORP.
October 16, 1984 - November 26, 1984
BARRON, MARSHALL & KAMEN CO., INC.
January 30, 1984 - September 28, 1984
MONVEST SECURITIES, INC.
October 22, 1982 - February 1, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
November 19, 1981 - March 24, 1983
UBS CAPITAL MARKETS L.P.
February 22, 1980 - June 8, 1982
M. S. WIEN & CO., INC.
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
Series 55
Date: 6/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
KNIGHT CAPITAL AMERICAS, L.P.
CRD#: 38599 / SEC#: , 8-48311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KNIGHT CAPITAL HOLDINGS LLC | LIMITED PARTNER | |
| CORRAO, MICHAEL TIMOTHY | CO-CCO | 1841775 |
| DONOHUE, KEVIN M | CO-CCO | 2767061 |
| DUNHAM, TIMOTHY PHILIP | FINANCIAL OPERATIONS PRINCIPAL | 1016294 |
| KNIGHT SECURITIES GENERAL LLC | LLC- GENERAL PARTNER | |
| LYONS, ROBERT KEANE | SENIOR MANAGING DIRECTOR | 1760001 |
| MAZZELLA, JOSEPH CARMINE JR | CEO | 1969966 |
| SADOFF, STEVEN JAY | EXECUTIVE VICE PRESIDENT | 4350038 |
| SOHOS, GEORGE | SENIOR MANAGING DIRECTOR | 4198973 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 2 |
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.
