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Information

Other Names: Ray Empkey
Firm:
Type: Registered Representative
Description

Raymond Empkey is a financial professional at Investment Centers of America, Inc., a broker-dealer with 537 registered representatives nationwide. Raymond has held an industry securities registration for 13 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Raymond Lee Empkey has not answered any questions on Financial Q&A.

Top Guides

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

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

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

Experience and Employment History

Employer Years Dates
Investment Centers of America 2 years, 2 months Feb 2012 - Present
Pro Equities, Inc. 1 year, 8 months Jun 2010 - Feb 2012
Uvest Financial Services Group 5 years, 2 months Mar 2005 - May 2010
Bankers Life and Casualty 7 years, 6 months Aug 2004 - Feb 2012
Fort Worth Star Telegram 1 year, 4 months Jun 2004 - Oct 2005
Mony Securities Corporation 2 years, 8 months Nov 2001 - Jul 2004
The Mony Group 2 years, 8 months Nov 2001 - Jul 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , 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
Disclosures

1 Customer Dispute

1 Termination

1 Final Judgment

1 Financial Disclosure

As of Date
03/13/2012
*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 Securities Agent State Law Examination Series 63 07/10/1998
Investment Company Products/Variable Contracts Representative Examination Series 6 03/04/1998

Firm Compensation Arrangements

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Types of Compensation Arrangements

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