Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alphonse Ray is a registered representative of Stifel, Nicolaus & Company, Inc. Richard is a financial professional with over four decades of experience in the financial services industry, having begun their career in 1980. Richard has a broad range of experience and is registered to offer financial and investment advice to both individuals and businesses. They hold Series 7, 63, and 65 licenses as well as the SIE designation. Richard has a track record of success, with a strong understanding of the financial markets and a commitment to providing personalized service. They are dedicated to helping their clients achieve their financial goals.
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.
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2
NJ
05/01/2009 - Present
Stifel, Nicolaus & Company, Inc. (MORRISTOWN NJ)
NJ
02/22/1980 - 05/04/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
IA
Issued 11/06/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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