Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you R? Claim Your ProfileRaymond Scott Smith is a financial advisor with over 30 years of experience in the financial industry. Raymond is currently registered with Wealthpenn.comllc, where Raymond has held this role since June 2009. Raymond Scott Smith has held previous roles at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Raymond Scott Smith is also registered as an Investment Advisor Representative in Georgia and Texas. Raymond holds several licenses and certifications including Series 7, Series 10, Series 26, Series 31, Series 63 and Series 65.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
06/01/2009 - Present
Wealthpenn.comllc (Alpharetta GA)
GA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALPHARETTA GA)
GA
09/04/1998 - 04/02/2007
MORGAN STANLEY DW INC. (ALPHARETTA GA)
NY
06/21/1991 - 09/15/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
11/08/1985 - 06/06/1991
FIRST INVESTORS CORPORATION (EDISON NJ)
NA
09/24/1985 - 10/09/1985
THE STUART-JAMES COMPANY, INC.
IA
Issued 1/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/24/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/25/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/30/1987
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/2/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 9/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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