Janice H. Ray
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Janice Humphrey Ray, who also goes by Janice Maud Humphrey, Janice Maude Humphrey, Janice H Ray, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1982. Janice had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - December 2, 2020
RETIREMENT PLAN ADVISORS, LLC
June 5, 2007 - December 31, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 4, 2007 - December 11, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 21, 1982 - November 14, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,148 |
| AUM (Assets Under Management) | $ 1,882,191,054 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
