Raymond J. Mcnamee
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 Joseph Mcnamee, who also goes by Raymond J Mcnamee, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1978. Raymond had worked at 12 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7, Series 1, Series 8, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 1997 - May 8, 1998
STERNE, AGEE & LEACH, INC.
February 21, 1996 - May 13, 1997
TRUIST SECURITIES, INC.
August 17, 1995 - January 21, 1996
FELTMAN & CO
November 23, 1990 - December 9, 1993
LEHMAN BROTHERS INC.
December 12, 1985 - November 13, 1990
J.P. MORGAN SECURITIES LLC
August 13, 1984 - January 6, 1986
LEHMAN BROTHERS INC.
November 28, 1983 - July 30, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 3, 1983 - September 17, 1983
STERN FINANCIAL SECURITIES, INC.
July 5, 1982 - March 15, 1983
MORGAN STANLEY DW INC.
May 19, 1982 - June 1, 1982
FINANCIAL SQUARE PARTNERS
January 9, 1980 - October 28, 1981
MORGAN STANLEY DW INC.
October 23, 1978 - March 5, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
October 23, 1978 - March 5, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
October 23, 1978 - March 5, 1979
IDS LIFE INSURANCE COMPANY
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 15
Date: 1/5/1989
Foreign Currency Options ExaminationSeries 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 1
Date: 10/13/1978
Registered Representative ExaminationSeries 8
Date: 2/8/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
