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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ray dean? Claim Your ProfileRay Dean Mize is an investment advisor representative with LPL Financial LLC. Ray Dean Mize has been in the industry since June 2007. Ray Dean Mize is currently registered with LPL Financial LLC and has previously been registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED and UBS FINANCIAL SERVICES INC.. Ray Dean Mize holds a Series 7 and a Series 66 license. Ray Dean Mize is also registered as an investment advisor representative in Arizona, California, Kansas, Nevada, Puerto Rico, Rhode Island, and Texas. Ray Dean Mize provides financial planning, portfolio management, and other non-discretionary advisory services to individuals, businesses, and charitable organizations.
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.
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.
Consulting and other non-discretionary advisory services
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.
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CA
05/26/2010 - Present
LPL Financial LLC (OXNARD CA)
CA
04/29/2009 - 04/30/2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED (OXNARD CA)
CA
06/05/2007 - 05/13/2009
UBS FINANCIAL SERVICES INC. (BEVERLY HILLS CA)
BOTH
Issued 06/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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