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RAYMOND P STOVALL II
R P STOVALL, RAY STOVALL, RAYMOND P STOVALL
CRD#: 1057050
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199820002002200420062008201020122014201620182020IADIRECT CAPITAL ADVISORS (CRD# 146395)2009 - 2020 (11 years)IAVERITRUST FINANCIAL, LLC (CRD# 106594)2010 - 2010 (<1 year)IADIRECT CAPITAL ADVISORS (CRD# 146395)2008 - 2008 (<1 year)IACAMBRIDGE LEGACY ADVISORS, INC. (CRD# 119558)2006 - 2007 (1 year)
Disclosure(s)
View By:
1/19/2014
Customer Dispute
Award / Judgment
9/1/1998
Customer Dispute
Settled
Previous Registration(s)
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01/09/2009 - 12/31/2020 DIRECT CAPITAL ADVISORS (CRD#:146395) Little Elm, TX
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02/19/2010 - 12/31/2010 VERITRUST FINANCIAL, LLC (CRD#:106594) BASTROP, TX
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04/22/2008 - 12/31/2008 DIRECT CAPITAL ADVISORS (CRD#:146395) Little Elm, TX
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09/07/2006 - 10/23/2007 CAMBRIDGE LEGACY ADVISORS, INC. (CRD#:119558) DALLAS, TX
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.