Raymond E. Pitts
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 Edward Pitts JR was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1977. Raymond had worked at 11 firms and has passed the SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2007 - September 21, 2015
ELEVATION, LLC
January 6, 2005 - September 12, 2007
RAFFERTY CAPITAL MARKETS, LLC
May 22, 2001 - January 6, 2005
HAMILTON SECURITIES GROUP, LLC
October 14, 1997 - March 23, 2001
BARCLAYS CAPITAL INC.
March 27, 1991 - July 9, 1997
UBS FINANCIAL SERVICES INC.
August 8, 1989 - March 21, 1991
SANWA SECURITIES (USA) CO., L.P.
March 4, 1988 - April 14, 1989
GLICKENHAUS & CO.
July 21, 1987 - April 7, 1988
E. F. HUTTON & COMPANY INC
April 9, 1986 - May 28, 1987
UBS SECURITIES LLC
October 7, 1977 - March 10, 1986
CREDIT SUISSE SECURITIES (USA) LLC
June 1, 1977 - November 24, 1977
WHITE, WELD & CO. INCORPORATED
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: 7/17/1987
AMEX Put and Call ExamCurrent Firm
ELEVATION, LLC
CRD#: 140341 / SEC#: , 8-67306
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | |
| PETERSON, KELSEY CARL III | REGISTERED OPTIONS PRINCIPAL | 6684459 |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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