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Thomas Kiplen Ray

Southeast Investments, N.c., Inc.

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About Thomas Kiplen Ray

Thomas Kiplen Ray is a registered representative with Southeast Investments, N.c., Inc. based in Charlotte, North Carolina. Thomas has been in the financial services industry since 1988. Thomas is licensed to conduct business in North Carolina and Wyoming.

Firm Information

Thomas Ray is currently registered with Southeast Investments, N.c., Inc.. Southeast Investments, N.c., Inc. is a Corporation that was formed on December 6, 1996. They are a registered investment advisor with the SEC and all 51 states. They provide financial planning, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. They also offer wrap fee program participation.

Not reported

Assets Under Management

Not reported

Total Clients

45

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Offer products as a b/d on a commission basis

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Thomas Ray’s Registration & Firm History

NC

03/13/2015 - Present

Southeast Investments, N.c., Inc. (CHARLOTTE NC)

NC

08/18/2014 - 03/12/2015

SECURITIES AMERICA, INC. (WAYNESVILLE NC)

NC

03/30/2007 - 09/18/2014

DALTON STRATEGIC INVESTMENT SERVICES INC. (WAYNESVILLE NC)

NC

02/22/2007 - 03/14/2007

DALTON STRATEGIC INVESTMENT SERVICES INC. (WAYNESVILLE NC)

NC

10/28/2005 - 03/07/2007

GUNNALLEN FINANCIAL, INC (WAYNESVILLE NC)

CO

02/11/1997 - 10/20/2005

THE LEADERS GROUP, INC. (LITTLETON CO)

NE

01/17/1995 - 03/19/1997

AMERITAS INVESTMENT CORP. (LINCOLN NE)

IN

11/08/1988 - 01/16/1995

JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)

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Licenses & Designations

BC

Issued 11/07/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Kiplen Ray.
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