Raymond L. Mockmore
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 Lee Mockmore, who also goes by Raymond Lee Mockmore Sr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1976. Raymond had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2009 - December 31, 2024
THOROUGHBRED FINANCIAL SERVICES, LLC
August 17, 2001 - June 8, 2009
CAMBRIDGE WAY, INC.
August 14, 2000 - September 28, 2001
UBS FINANCIAL SERVICES INC.
July 13, 1984 - August 14, 2000
J.C. BRADFORD & CO.
February 18, 1981 - July 30, 1984
MORGAN STANLEY DW INC.
September 16, 1977 - March 13, 1981
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
July 22, 1976 - March 7, 1977
W. N. ESTES & COMPANY, INC.
Primary Firm SEC Registration
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
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: 6/13/1977
AMEX Put and Call ExamSeries 8
Date: 10/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
Contact information
SEC notice filing (22 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARKER FAMILY TRUST | MEMBER | |
| ATKINS, JOHN SEXTON | MEMBER | 709695 |
| HARTLEY, LAWRENCE RANDALL | MEMBER | 1235172 |
| PARKER, PATRICK GIBBONS | MEMBER | 709713 |
| STEELE, BARRY GENE | MEMBER | 1000525 |
| WEDDINGTON, WILLIAM ALLEN | MEMBER | 709720 |
| HERNDON, JACK CLARK JR | EXECUTIVE V.P. SECURITIES | 1286530 |
| KELLY, DANIEL JAMES | V.P. OPERATIONS - CCO, CFO | 2378762 |
| PARKER, SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | 3265529 |
| PARKER, THOMAS JENKINS | PRESIDENT, CEO | 356789 |
Regulatory assets under management
| Total Number of Accounts | 6,789 |
| AUM (Assets Under Management) | $ 3,409,535,678 |
Disclosures
| Regulatory Event | 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.
