|Other Names:||Ray Empkey|
Raymond Empkey is a financial professional at Investment Centers of America, Inc., a broker-dealer with 534 registered representatives nationwide. Raymond has held an industry securities registration for 13 years and is subject to FINRA oversight.
Top AnswersRaymond Lee Empkey has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|Banking or Thrift Institutions|
|Pension and Profit Sharing Plans|
|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.
|Investment Centers of America||2 years, 1 month||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|
1 Customer Dispute
1 Final Judgment
1 Financial Disclosure
|As of Date||
*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.
|Uniform Securities Agent State Law Examination||Series 63||07/10/1998|
|Investment Company Products/Variable Contracts Representative Examination||Series 6||03/04/1998|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees