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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 Marshall Evans III is a financial advisor with over 20 years of experience in the industry. Ray currently works at UBS Financial Services Inc. in Mt. Pleasant, South Carolina. Ray's background includes prior experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Ray is registered with the Securities and Exchange Commission (SEC) as a registered representative and investment advisor representative. Ray holds several securities licenses, including Series 7, Series 31, Series 63, and Series 65. Ray has specializations in Fixed Income, Equities, Mutual Funds, Alternative Investments, Annuities, Life Insurance and Long-Term Care Insurance. Ray is a member of the Financial Industry Regulatory Authority (FINRA).
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.
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.
See schedule d - miscellaneous
1
2
SC
07/05/2023 - Present
UBS Financial Services Inc. (Mt. Pleasant SC)
SC
06/01/2009 - 01/21/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLESTON SC)
SC
04/02/2007 - 06/02/2009
MORGAN STANLEY & CO. INCORPORATED (CHARLESTON SC)
SC
09/28/2001 - 04/02/2007
MORGAN STANLEY DW INC. (CHARLESTON SC)
IA
Issued 12/04/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/27/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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