Home  >  BrightScope Advisor Pages  >  Raymond Richard Lussier

Information

Firm:
Type: Dual Registration
Description

Raymond Lussier is a financial professional at USA Financial Securities Corporation, a broker-dealer with 122 registered representatives nationwide. Raymond has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Raymond Richard Lussier has not answered any questions on Financial Q&A.

Top Guides

Raymond Richard Lussier has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
USA Financial Securities Corporation 4 years, 7 months Sep 2009 - Present
First Financial Advisors, LLC 1 year, 8 months Jan 2008 - Sep 2009
Workman Securities Corporation 2 years, 1 month Nov 2005 - Dec 2007
Advisory Group Equity Services 5 years Nov 2000 - Nov 2005
Financial Advisors Network, Inc. 19 years, 9 months Jul 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/30/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

1 Customer Dispute

1 Termination

1 Regulatory Event

As of Date
11/30/2012
08/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 06/08/2004
General Securities Representative Examination Series 7 12/23/2003
Investment Company Products/Variable Contracts Principal Examination Series 26 10/02/2000
Direct Participation Programs Representative Examination Series 22 10/15/1985
Uniform Securities Agent State Law Examination Series 63 08/02/1985
Investment Company Products/Variable Contracts Representative Examination Series 6 07/19/1985

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions