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Jordan A Ray

Northwestern Mutual Investment Services, LLC

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About Jordan A Ray

Jordan Ray is a registered investment advisor representative, working with Northwestern Mutual Investment Services, LLC since December 2008. Jordan has been in the industry since September 2009. Jordan Ray is licensed to provide investment advice in North Carolina, Missouri, New Mexico and South Carolina. Jordan Ray is also registered with the Financial Industry Regulatory Authority (FINRA) and North Carolina. Jordan Ray has a Series 7 and 66 licenses and passed the SIE exam in 2018. Jordan Ray is a member of Northwestern Mutual and is located in the Raleigh, North Carolina branch office.

Firm Information

Jordan Ray is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1201 Edwards Mill Rd

Raleigh, NC 27607

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Jordan Ray’s Registration & Firm History

NC

04/14/2010 - Present

Northwestern Mutual Investment Services, LLC (Raleigh NC)

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Licenses & Designations

BOTH

Issued 2/24/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/9/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jordan A Ray.
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