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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ray? Claim Your ProfileRay Franklin Kauffman is a financial advisor with over 30 years of experience in the industry. Ray currently works at Wells Fargo Clearing Services, LLC, and is registered to provide financial advice in Virginia and Texas. Ray is also a registered Investment Advisor in Virginia. Prior to joining Wells Fargo Clearing Services, LLC, Ray worked at Morgan Stanley and Wachovia Securities, LLC. Ray holds multiple licenses, including Series 7, 9, 10, 63 and 65. Ray's expertise is in financial planning, portfolio management for individuals and businesses, and selection of other advisors.
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.
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2
VA
09/28/2017 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTESVILLE VA)
VA
06/01/2009 - 10/02/2017
MORGAN STANLEY (CHARLOTTESVILLE VA)
VA
08/22/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RICHMOND VA)
VA
01/01/2008 - 09/15/2008
WACHOVIA SECURITIES, LLC (CHARLOTTESVILLE VA)
VA
09/30/1987 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CHARLOTTESVILLE VA)
NA
07/22/1987 - 08/20/1987
SHERWOOD CAPITAL, INC.
IA
Issued 01/30/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
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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