Raymond S. Sulka
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 Stanley Sulka was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1976. Raymond had worked at 16 firms and has passed the Series 66, Series 63, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - November 8, 2007
QUESTAR CAPITAL CORPORATION
February 1, 2002 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 11, 2000 - February 1, 2002
AMERICAN PACIFIC SECURITIES, INC.
April 25, 2000 - July 11, 2000
IAC SECURITIES, INC.
December 15, 1997 - December 31, 1998
NATHAN & LEWIS SECURITIES, INC.
February 3, 1997 - December 18, 1997
THOMASLLOYD CAPITAL LLC
February 27, 1996 - October 29, 1996
FFP SECURITIES, INC.
October 26, 1993 - November 23, 1994
OSAIC WEALTH, INC.
August 20, 1993 - November 24, 1993
LPL FINANCIAL LLC
April 16, 1991 - June 7, 1993
MUTUAL SERVICE CORPORATION
October 4, 1990 - April 17, 1991
SUNPOINT SECURITIES, INC.
April 1, 1987 - December 31, 1989
WESTPORT FINANCIAL GROUP, INC.
March 14, 1985 - December 15, 1986
AMERICAN CAPITAL EQUITIES, INC.
September 22, 1982 - May 18, 1983
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
June 21, 1982 - September 9, 1982
E. F. HUTTON & COMPANY INC
March 31, 1981 - May 7, 1982
THOMSON MCKINNON SECURITIES INC.
April 5, 1976 - May 1, 1980
CLAYTON BROKERAGE CO. OF ST. LOUIS, 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 40
Date: 3/29/1976
Registered Principal ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| 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.
