Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond S Steele is a financial professional with over 30 years of experience in the securities industry. Raymond has worked with HSBC Securities (USA) Inc. since 2013. Prior to that, Raymond worked with HSBC Brokerage (USA) Inc. for over 4 years. Raymond is registered with the following states: Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kansas, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, Virginia and Wisconsin. Raymond also holds FINRA Series 7, 9, 10, 24, 63, and 66 licenses. Raymond has a condo in Hilton Head Island, South Carolina and Peoria, Arizona.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
1
2
NJ
11/12/2021 - Present
Hsbc Securities (usa) Inc. (CHATHAM NJ)
NY
06/19/2000 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
01/27/1998 - 06/19/2000
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
NY
05/03/1994 - 01/27/1998
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
NJ
02/27/1992 - 05/05/1994
A.S. GOLDMEN & CO., INC. (RED BANK NJ)
BOTH
Issued 02/09/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/23/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/10/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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