Raymond J. Samuel
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 John Samuel, who also goes by Raymond J Samuel, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1978. Raymond had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2008 - April 30, 2019
LOCKTON INVESTMENT SECURITIES, LLC
August 16, 2007 - April 30, 2019
LOCKTON INVESTMENT ADVISORS, LLC
March 7, 2006 - July 31, 2007
OSAIC SERVICES, INC.
December 13, 2005 - July 2, 2008
OSAIC SERVICES, INC.
November 13, 2000 - December 31, 2005
TOWER SQUARE SECURITIES, INC.
April 8, 1994 - November 8, 2000
OSAIC WEALTH, INC.
October 15, 1993 - May 5, 1994
VOYA FINANCIAL PARTNERS, LLC
July 14, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 10, 1987 - June 25, 1992
F & G SECURITIES, INC.
May 14, 1986 - February 13, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 20, 1980 - February 13, 1989
EQUITABLE ADVISORS, LLC
August 24, 1978 - October 19, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 8/11/1978
Registered Representative ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
