Raymond S. Robinson
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 Sherwood Robinson, who also goes by Ray Robinson, was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1975. Raymond had worked at 12 firms and has passed the Series 65, Series 63, PC, Series 7, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2011 - May 31, 2012
CAPE SECURITIES INC.
March 21, 2011 - May 2, 2012
SEACOAST INVESTOR SERVICES, INC.
September 24, 2009 - March 2, 2011
CAPE SECURITIES INC.
April 28, 2008 - August 19, 2009
TRUIST INVESTMENT SERVICES, INC.
April 23, 2008 - August 19, 2009
TRUIST INVESTMENT SERVICES, INC.
September 7, 2005 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 3, 2005 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 20, 2004 - July 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - July 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 7, 2004 - October 20, 2004
QUICK & REILLY, INC.
September 30, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 19, 2001 - October 16, 2003
ADVEST, INC.
April 6, 2000 - September 13, 2001
H.C.WAINWRIGHT & CO., LLC
December 16, 1994 - April 12, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 5, 1991 - December 22, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 5, 1988 - June 17, 1991
MORGAN STANLEY DW INC.
September 25, 1975 - February 10, 1988
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 12
Date: 1/29/1979
NYSE Branch Manager ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
