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Ray Kwan

U.s. Bancorp Investments, Inc.

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About Ray Kwan

Ray Kwan is a financial advisor who is currently registered with U.S. Bancorp Investments, Inc. in Texas. Ray has been in the financial industry since 2001. Ray has a wide range of experience with different financial products and services, including securities, investment advisory, and insurance. Ray is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals. Ray has worked for several other firms in the past including LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BANC of America Investment Services, Inc.

Firm Information

Ray Kwan is currently registered with U.s. Bancorp Investments, Inc.. U.S. Bancorp Investments, Inc. is a corporation that provides financial planning, portfolio management, and other investment advisory services. Formed in 1974, the firm has approximately $1 billion - $10 billion in assets under management and is registered with the SEC and in all 50 states. The firm's main office is located in Saint Paul, Minnesota.
U.s. Bancorp Investments, Inc.

60 LIVINGSTON AVENUE

SAINT PAUL, MN 55107

$15.87B

Assets Under Management

3,360

Total Clients

1,960

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1,networking&shareholder serv,product partner arrangements

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Ray Kwan’s Registration & Firm History

SD

05/02/2024 - Present

U.s. Bancorp Investments, Inc. (Sioux Falls SD)

TX

11/13/2018 - 04/01/2024

LPL FINANCIAL LLC (HOUSTON TX)

TX

10/23/2009 - 07/22/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

TX

11/05/1998 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 08/29/2024

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/23/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/22/2016

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/2010

Series 7 - General Securities Representative Examination

BC

Issued 11/04/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ray Kwan.
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