Ray A. Isaacs

ISAACS & ASSOCIATES

CINCINNATI, OH 45245

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CRD#: 1205809

Professional summary

Ray Allen Isaacs, AIF®, who also goes by Ray Alan Isaacs, is a registered financial advisor currently at ISAACS & ASSOCIATES, LLC located in Cincinnati, Ohio.

Ray is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Ray has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Alan Isaacs

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name of the other business: Independent Agent Investment-related: Yes Address: 4270 Ivy Pointe Blvd, Ste. 100, Cincinnati, OH 45245 Nature of the business: Insurance Position, title, or relationship with the other business: Insurance Agent Start date: July 1983 Approximate hours/month: 80 Hours Hours during securities trading hours: 80 Hours Duties: Recommends the purchase of insurance products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray Allen Isaacs's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 17, 2023 - Present

ISAACS & ASSOCIATES, LLC

Office #1: 4270 Ivy Pointe Blvd Suite 100, Cincinnati, OH 45245

RIA

CRD#: 324222

CINCINNATI, OH

Past

February 15, 2002 - February 16, 2023

SPC

RIA

CRD#: 110692

CINCINNATI, OH

Past

February 9, 2002 - February 16, 2023

PARKLAND SECURITIES, LLC

CRD#: 115368

CINCINNATI, OH

Past

July 11, 1997 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 31, 1986 - June 6, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(2/21/2025)

IAR

Ohio
(2/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/30/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ISAACS & ASSOCIATES, LLC

CRD#: 324222 / SEC#:

Kentucky

Registered Investment Advisory firm - (2/21/2025 Approved)

Ohio

Registered Investment Advisory firm - (2/17/2023 Approved)

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Contact information

Main Address

4270 Ivy Pointe Blvd Suite 100, Cincinnati, OH 45245

Mailing Address

Phone number

(513) 474-5102

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	175
AUM (Assets Under Management)	$ 55,411,643

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.

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Ray A. Isaacs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray Allen Isaacs's CRS (Customer Relationship Summary).

Certified licenses

Experience

ISAACS & ASSOCIATES, LLC

SPC

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/1999

SIE

Date: 10/1/2018

Series 6

Date: 10/30/1986

Current Firm

ISAACS & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ISAACS & ASSOCIATES, LLC

TRUST BUT VERIFY

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