Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ray? Claim Your ProfileRay Yiu Sum is a financial professional with over 30 years of experience in the industry. Ray is currently registered with Stifel, Nicolaus & Company, Inc. and has previously worked with Stone & Youngberg LLC, Banc of America Securities LLC, Fahnestock & Co., Inc., and Gruntal & Co. Incorporated. Ray is a Series 7, 24, 63, and SIE licensed professional. Ray specializes in a variety of services including portfolio management for individuals and businesses, financial planning, pension consulting, educational seminars, 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.
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.
1
2
CA
09/30/2011 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
12/06/2001 - 06/13/2012
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
CA
12/06/2001 - 05/11/2012
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
NY
06/07/2000 - 12/11/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
02/13/1997 - 05/17/2000
FAHNESTOCK & CO., INC. (NEW YORK NY)
NY
04/13/1992 - 02/06/1997
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
04/03/1991 - 04/30/1991
GILFORD SECURITIES INCORPORATED (NEW YORK NY)
NY
12/07/1990 - 03/13/1991
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BC
Issued 02/20/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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