John A. 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.
John Arthur Ray, who also goes by John Arthur Ray III, Jr Ray III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 15 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2016 - January 3, 2017
JONESTRADING
September 17, 2014 - March 29, 2016
NOBLE CAPITAL MARKETS, INC.
November 25, 2013 - July 25, 2014
H.C.WAINWRIGHT & CO., LLC
November 29, 2012 - November 18, 2013
MLV & CO. LLC
February 16, 2011 - November 6, 2012
MLV & CO. LLC
June 27, 2008 - February 3, 2011
WM SMITH & CO.
March 15, 2007 - June 20, 2008
HUDSON SECURITIES,INC.
December 21, 2005 - April 19, 2006
DOMESTIC SECURITIES, INC.
October 26, 2004 - May 9, 2005
GUZMAN & COMPANY
April 28, 2004 - October 14, 2004
TD AMERITRADE, INC.
January 2, 2003 - April 25, 2003
LAVAFLOW, INC.
August 15, 2002 - January 13, 2003
NEXTRADE
August 28, 1997 - April 16, 2002
KNIGHT CAPITAL AMERICAS, L.P.
February 1, 1997 - July 18, 1997
HUDSON SECURITIES,INC.
January 13, 1989 - January 30, 1997
HERZOG, HEINE, GEDULD, LLC
February 2, 1988 - February 12, 1988
UBS CAPITAL MARKETS L.P.
December 18, 1984 - June 6, 1988
DEUTSCHE IXE, LLC
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
Series 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
