Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael David Ray is a financial advisor with Wells Fargo Clearing Services, LLC and has been in the industry since 1994. Michael has held prior roles with Wells Fargo Funds Distributor, LLC, Wells Fargo Advisors, LLC, UVEST Financial Services Group, Inc., First Union Securities, Inc., First Union Brokerage Services, Inc., and Edward D. Jones & Co., L.P.. Michael holds several licenses including Series 7, 9, 10, 24, 51, and 63 and is also a registered principal in the state of North Carolina.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
07/31/2012 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NC
08/21/2009 - 07/19/2012
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
NC
06/03/2004 - 08/17/2009
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
03/21/2001 - 05/10/2004
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
MO
10/01/2000 - 03/21/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
05/01/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MO
06/02/1994 - 01/27/1995
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
BOTH
Issued 11/06/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/04/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 01/31/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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