Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ray is a financial advisor with over 12 years of experience in the industry. James Ray is registered with Tiaa-Cref Individual & Institutional Services, LLC and is licensed to provide financial advice in Colorado and Maine. James Ray has earned several industry certifications including Series 6, Series 7, Series 10, Series 24, Series 26, Series 51, Series 63 and the SIE. James Ray specializes in financial planning and portfolio management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CO
01/29/2008 - Present
Tiaa-Cref Individual & Institutional Services, LLC (DENVER CO)
BC
Issued 02/15/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/18/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/09/2020
Series 24 - General Securities Principal Examination
BC
Issued 12/15/2018
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/13/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/04/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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