Eugene Anthony Raymond
Professional Summary
Eugene Anthony Raymond was a registered financial advisor. Eugene was a previously registered financial professional and started their career in finance 1976 - 2016. Eugene had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
AVALON RETIREMENT SPECIALISTS, INC. | PEAK ONE FINANCIAL | NTB FINANCIAL CORPORATION | NTB ADVISORS, A DIVISION OF NTB FINANCIAL CORPORATION | NTB ADVISERS, A DIVISION OF NTB FINANCIAL CORPORATION | NTB ADVISERS, A DIVISION OF NEIDIGER, TUCKER, BRUNER INC | NEIDIGER, TUCKER, BRUNER, INC. | EAST FORSYTH INVESTMENTS | COLBY & WHITE
Contact Information
Main Address
1745 Shea Center Drivee Suite 400, Highlands Ranch, CO 80129Phone Number
(303) 825-1825Established
Colorado since 05/20/1977Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
58Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory Assets Under Management
Total Number of Accounts
724AUM (Assets Under Management)
$250,252,265Disclosures
Regulatory Event
5Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 40 — Registered Principal Examination
Passed Oct 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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