Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Craig Ray is a financial professional with over 35 years of experience in the financial services industry. Richard is currently registered with Stifel, Nicolaus & Company, Inc. and provides investment advisory services to individuals, corporations, high net worth individuals, charitable organizations, pooled investment vehicles, and pension and profit-sharing plans. Richard has previously held positions with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., RBC Dain Rauscher Inc., Dain Rauscher Incorporated, Everen Securities, Inc., Bateman Eichler, Hill Richards, Incorporated, and Dean Witter Reynolds Inc.
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
HI
06/14/2012 - Present
Stifel, Nicolaus & Company, Inc. (HONOLULU HI)
HI
06/01/2009 - 07/12/2012
MORGAN STANLEY SMITH BARNEY (HONOLULU HI)
HI
06/13/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HONOLULU HI)
NY
03/02/1998 - 06/16/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
08/08/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
09/04/1990 - 09/09/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
08/28/1989 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NY
07/24/1985 - 09/09/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/27/1984 - 01/15/1985
ENO SECURITIES LTD.
IA
Issued 10/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
BC
Issued 11/14/1984
Series 22 - Direct Participation Programs 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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