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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-09-13
TX RA APPROVED 2019-09-13
  • CT RA
    APPROVED
    Since 2019-09-13
  • TX RA
    APPROVED
    Since 2019-09-13

Branch Locations

360 N Main St Ste 4, Southington, CT 06489 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Woodbury Financial Services, Inc. Cheshire CT 10/2013 09/2019
Lpl Financial Southington CT 09/2019 Present
  • 10/2013 → 09/2019
    Woodbury Financial Services, Inc.
    Cheshire, CT
  • 09/2019 → Present
    Lpl Financial
    Southington, CT
Previous Registrations
  • 2013-10-09 → 2019-09-17
    Woodbury Financial Services, Inc.
    Southington, CT
    Cheshire, CT
    Naples, FL
  • 2010-06-02 → 2013-11-06
    Concourse Financial Group Securities, Inc.
    Chesire, CT
    Cheshire, CT
    Birmingham, AL
  • 2005-07-15 → 2010-05-28
    Uvest Financial Services Group, Inc.
    Milford, CT
    Cheshire, CT
    Cheshire, CT
    Chicago, IL
    Cheshire, CT
Other Businesses

1)02/1987 - Non-Variable Insurance - PAUL RAYMOND - 20% - INVESTMENT RELATED - SOUTHINGTON, CT 06489 2)01/2016 - DBA for LPL Business (entity for LPL business) - Raymond Wealth Management - 100% - INVESTMENT RELATED - SOUTHINGTON, CT 06489 3) 04/13/2022 - St Paul Catholic High School - Not Investment Related - Page Park Tennis Courts in Bristol, CT 06010 and local High School tennis venues - Outside/W-2 Employment - Head Coach, Girls Varsity Tennis team - Start Date: 04/04/2022 - 40 Hours Per Month/ 40 Hours During Securities Trading. 4) 02/24/2025- Shuttle Meadow Country Club- Non-Profit Board Member- Not INV Related- Start date 1)02/1987 - Non-Variable Insurance - PAUL RAYMOND - 20% - INVESTMENT RELATED - SOUTHINGTON, CT 06489 2)01/2016 - DBA for LPL Business (entity for LPL business) - Raymond Wealth Management - 100% - INVESTMENT RELATED - SOUTHINGTON, CT 06489 3) 04/13/2022 - St Paul Catholic High School - Not Investment Related - Page Park Tennis Courts in Bristol, CT 06010 and local High School tennis venues - Outside/W-2 Employment - Head Coach, Girls Varsity Tennis team - Start Date: 04/04/2022 - 40 Hours Per Month/ 40 Hours During Securities Trading. 4) 02/24/2025- Shuttle Meadow Country Club- Non-Profit Board Member- Not INV Related- At Kensington CT, Start date 12/19/2024- 2 Hours Per Month 5) 03/06/2025 - St Luke Catholic School - Not Investment Related - Non-Profit Board Member - Home Based -Start Date:09/01/2011 - 2 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-11-17
S65 Uniform Investment Adviser Law Examination 2005-07-14
  • S63 Uniform Securities Agent State Law Examination
    2005-11-17
  • S65 Uniform Investment Adviser Law Examination
    2005-07-14
Designations
Other Names
  • Paul J Raymond

View on SEC IAPD

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