Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ray? Claim Your ProfileRay Au is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Ray has been in the securities industry since 2007. Ray is registered with FINRA and is also a registered Investment Advisor Representative in Texas and Washington. Ray has a Series 7, Series 63, and Series 66. Ray provides financial advice to individuals, businesses, and institutions. Ray is dedicated to providing personalized financial advice to help clients achieve their financial goals. Ray has experience in a variety of financial services, including investment management, retirement planning, and estate planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
07/11/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SEATTLE WA)
WA
04/19/2017 - 07/15/2022
HSBC SECURITIES (USA) INC. (BELLEVUE WA)
WA
12/15/2015 - 03/22/2017
J.P. MORGAN SECURITIES LLC (KIRKLAND WA)
WA
04/23/2015 - 08/24/2015
J.P. MORGAN SECURITIES LLC (KIRKLAND WA)
WA
12/18/2007 - 04/01/2014
SCOTTRADE, INC. (RENTON WA)
BOTH
Issued 05/22/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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