RH
Raymond L. Harper
COMPREHENSIVE CAPITAL MANAGEMENT
Rockaway, NJ 07866
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CRD#: 826868
RH
Professional summary
Raymond Leonard Harper, who also goes by Ray Harper, is a registered financial advisor currently at COMPREHENSIVE CAPITAL MANAGEMENT, INC. located in Rockaway, New Jersey and APW CAPITAL, INC. located in Beaver, Pennsylvania.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Raymond has worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Harper
Other business activities
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.
VARIOUS INSURANCE COMPANIES/ORDINARY INSURANCE SALES/INDIVIDUAL PRODUCER;1% OF TIME SPENT/ COMMISSION / 1/1/2001. /// SENIOR CITIZENS CARING FOUNDATION, NOT INVESTMENT RELATED, BEAVER PA, BOARD MEMBER SINCE 1/1/1985. /// Harper & Hodge, Investment Related, Beaver, PA, d/b/a name used for marketing Investment Advisory & Brokerage Business, IAR & RR, 9/7/2010, 100% of time devoted to activity, Investment Advisor of Comprehensive Capital Management & Registered Rep of Comprehensive Asset Management & Servicing, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Leonard Harper's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 21, 2010 - Present
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
Office #1: 100 Enterprise Drive, Suite 504, Rockaway, NJ 07866Office #2: 777 East Tahquitz Canyon Way Suite 200, Palm Springs, CA 92262RIA
CRD#: 119890
Rockaway, NJ
Current
September 20, 2010 - Present
APW CAPITAL, INC.
Office #1: 1221 Third Street, Beaver, PA 15009Office #2: 777 East Tahquitz Cannyon Way Suite 200, Palm Springs, CA 92262BD
CRD#: 43814
Beaver, PA
Past
October 24, 2005 - September 23, 2010
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BEAVER, PA
Past
October 24, 2005 - September 23, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BEAVER, PA
Past
September 18, 2003 - December 31, 2005
BLUE VASE SECURITIES, LLC
RIA
CRD#: 46765
BEAVER, PA
Past
September 12, 2003 - October 24, 2005
BLUE VASE SECURITIES, LLC
BD
CRD#: 46765
WASHINGTON, PA
Past
October 20, 1980 - September 19, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 1, 1976 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.
CRD#: 119890 / SEC#: 801-61068
RIA
Registered Investment Advisory firm - (4/19/2002 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/21/2010)
IAR
California(11/18/2019)
RR
Florida(9/30/2010)
RR
Georgia(3/17/2014)
RR
Nevada(9/24/2010)
RR
Ohio(9/28/2010)
RR
Pennsylvania(9/21/2010)
IAR
Pennsylvania(9/21/2010)
RR
South Carolina(1/4/2022)
RR
Tennessee(10/16/2019)
RR
Virginia(2/24/2022)
RR
Washington(10/16/2019)
RR
West Virginia(9/28/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/23/1976
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CC
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.
CRD#: 119890 / SEC#: 801-61068
RIA
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Contact information
Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,105 |
| AUM (Assets Under Management) | $ 71,040,110 |
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.
