Raymond Steele (CRD# 2209421) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Chatham, NJ and has over 32 years of experience in the finance industry.
CRD# 5366446
Legacy Care Wealth, LLC
CRD# 5784181
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5241462
Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Hsbc Bank Usa, N.a. | New York, NY | Aug 2016 - Current | 7 |
| Hsbc Securities (usa) Inc. | New York, NY | Apr 2013 - Jul 2016 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1992 |
| S66 | NASAA Uniform Combined State Law Examination | Feb 2004 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CT
- DE
- DC
- GA
- KS
- LA
- ME
- MD
- MT
- NJ
- NM
- NY
- NC
- TX
- UT
- VA
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Total Assets Under Management3,020MILLIONS
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Total Number of Accounts12,389ACCOUNTS
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Average Account Value$243,802
- A percentage of assets under your management
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AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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