Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Ray is a financial advisor with over 24 years of experience in the financial services industry. Stuart currently works for Hilltop Securities Inc. and has been with the firm since August 2024. Prior to joining Hilltop Securities Inc., Stuart worked for B. Riley Wealth Management, Morgan Stanley, and Morgan Stanley DW Inc. Stuart is registered with the state of Arkansas, Florida, Illinois, Kentucky, Massachusetts, Mississippi, Missouri, Nevada, Ohio, Oregon, Tennessee, Texas, and Washington. Stuart is also a Certified Financial Planner and has a Series 3, 7, 31, and 66 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TN
08/05/2024 - Present
Hilltop Securities Inc. (Memphis TN)
TN
07/11/2017 - 08/08/2024
B. RILEY WEALTH MANAGEMENT (Memphis TN)
TN
06/01/2009 - 07/12/2017
MORGAN STANLEY (MEMPHIS TN)
TN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MEMPHIS TN)
TN
08/25/1999 - 04/02/2007
MORGAN STANLEY DW INC. (MEMPHIS TN)
BOTH
Issued 10/02/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2013
Series 3 - National Commodity Futures Examination
BC
Issued 11/02/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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