Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RAYMOND JOHN ABBATE
CRD#: 700067
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 77 BROAD ST
RED BANK, NJ 07701
Registration History
197519801985199019952000200520102015202020252 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1981 - 1993 (12 years)BBACHE HALSEY STUART SHIELDS IN... (CRD# 7471)1978 - 1981 (2 years)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1974 - 1978 (3 years)BMAYFLOWER SECURITIES CO., INC. (CRD# 562)1974 - 1975 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)
Disclosure(s)
View By:
12/8/2011
Customer Dispute
Denied
5/21/2009
Customer Dispute
Settled
5/31/2002
Customer Dispute
Settled
11/1/1986
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 3/23/2023
B
New Jersey 9/21/2012
B
Arizona 5/25/2016
IA
New Jersey 9/21/2012
B
California 9/24/2012
B
New York 9/21/2012
B
Colorado 8/8/2018
B
North Carolina 3/24/2023
B
Connecticut 8/15/2023
B
Ohio 9/21/2012
B
Florida 9/21/2012
B
Pennsylvania 9/21/2012
B
Georgia 9/21/2012
B
Puerto Rico 7/26/2023
B
Illinois 3/24/2023
IA
Texas 9/25/2012
B
Indiana 3/23/2023
B
Virginia 9/21/2012
B
Maryland 3/23/2023
B
Washington 3/23/2023
B
Michigan 9/21/2012

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 9/21/2012
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
77 BROAD ST, RED BANK, NJ 07701
Registered with this firm since 9/21/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 09/27/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SHREWSBURY, NJ
B
 06/01/2009 - 09/27/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SHREWSBURY, NJ
IA
 05/08/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHREWSBURY, NJ
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHREWSBURY, NJ
B
 05/05/1981 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/08/1978 - 06/01/1981 BACHE HALSEY STUART SHIELDS INCORPORATED (CRD#:7471)
B
 12/02/1974 - 09/01/1978 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
B
 09/20/1974 - 02/06/1975 MAYFLOWER SECURITIES CO., INC. (CRD#:562)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.