Raymond L. Aronson
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 Leif Aronson was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1973. Raymond had worked at 11 firms and has passed the Series 63, Series 15, Series 5, Series 41, Series 14, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2004 - June 4, 2014
SUTTER SECURITIES INCORPORATED
September 18, 2003 - September 10, 2004
WHITE RIVER SECURITIES, LLC
November 15, 1996 - December 5, 2001
RESEARCH CONVERSION CORP.
May 3, 1996 - September 10, 2004
J.P. MORGAN CLEARING CORP.
April 6, 1989 - May 29, 2002
INSTITUTIONAL DIRECT INC.
August 24, 1988 - July 22, 1989
BROKERS' SOFT DOLLAR, INC.
October 9, 1987 - February 10, 1988
BEAR STEARNS SPECIALIST INC.
October 20, 1980 - March 5, 1986
SINGER & MACKIE, INC.
October 15, 1980 - August 19, 1998
NASDAQ EXECUTION SERVICES, LLC
October 29, 1975 - September 10, 2004
J.P. MORGAN SECURITIES LLC
November 1, 1973 - March 19, 1980
EDWARDS & HANLY
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 15
Date: 12/6/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 41
Date: 10/18/1973
NYSE Allied Member ExaminationSeries 00
Date: 10/18/1973
General Securities Principal ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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