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RAYMOND ALBERT DERAGON
RAY DERAGON, RAYMOND A DERAGON
CRD#: 2932463
IA
Investment Adviser
B
Broker Regulated by FINRA
CARY STREET PARTNERSCRD#: 128089 7000 N. MOPAC EXPY
SUITE 150
AUSTIN, TX 78731
+1
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2006 (8 years)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - Present (11 years)BOPPENHEIMER & CO. INC. (CRD# 249)2009 - 2009 (<1 year)
Disclosure(s)
View By:
2/11/2015
Customer Dispute
Settled
7/3/2012
Customer Dispute
Denied
3/8/2011
Customer Dispute
Closed-No Action
3/8/2011
Customer Dispute
Closed-No Action
7/30/2009
Customer Dispute
Closed-No Action
7/30/2009
Customer Dispute
Closed-No Action
7/30/2009
Customer Dispute
Closed-No Action
7/30/2009
Customer Dispute
Closed-No Action
4/4/2009
Customer Dispute
Pending
5/27/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona

B
Nevada

B
Arkansas

B
New Hampshire

B
California

B
New Jersey

B
Colorado

B
New Mexico

B
Florida

B
New York

B
Georgia

B
Oregon

B
Indiana

B
Pennsylvania

B
Louisiana

B
Texas

B
Michigan

IA
Texas

B
Montana

B
Wisconsin

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CARY STREET PARTNERS (CRD#:128089)
7000 N. MOPAC EXPY SUITE 150, AUSTIN, TX 78731
Registered with this firm since 11/1/2013

IA
CARY STREET PARTNERS (CRD#:128545)
7801 CAPITAL OF TEXAS HIGHWAY, SUITE 310, AUSTIN, TX 78731
Registered with this firm since 12/16/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/25/2009 - 12/09/2013 RIVERSTONE WEALTH MANAGEMENT (CRD#:40418) AUSTIN, TX
B
07/22/2009 - 12/09/2013 RIVERSTONE WEALTH MANAGEMENT, INC. (CRD#:40418) AUSTIN, TX
B
03/20/2009 - 07/29/2009 OPPENHEIMER & CO. INC. (CRD#:249) AUSTIN, TX
IA
04/21/2006 - 03/19/2009 STANFORD GROUP COMPANY (CRD#:39285) AUSTIN, TX
B
04/21/2006 - 03/19/2009 STANFORD GROUP COMPANY (CRD#:39285) AUSTIN, TX
IA
11/07/1997 - 04/25/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) AUSTIN, TX
B
10/08/1997 - 04/25/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AUSTIN, TX
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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