Rafael J. Raymos
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.
Rafael Joseph Raymos, who also goes by Rafael J Raymos, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1979. Rafael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2013 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
July 19, 2007 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
October 6, 2005 - July 20, 2007
MML INVESTORS SERVICES, LLC
January 1, 2004 - November 2, 2005
VOYA FINANCIAL ADVISORS, INC.
January 20, 1997 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 18, 1993 - January 20, 1997
INVESTACORP, INC.
May 23, 1990 - February 23, 1993
RHODES SECURITIES, INC.
November 19, 1989 - May 21, 1990
OSAIC WEALTH, INC.
March 30, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 4, 1986 - April 22, 1988
B.C. CHRISTOPHER SECURITIES CO.
August 30, 1983 - February 3, 1986
LEHMAN BROTHERS INC.
October 24, 1979 - August 6, 1982
DICKINSON & CO.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 5
Date: 2/17/1982
Interest Rate Options ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
