Anthony N. Ray

J. W. COLE ADVISORS

Orcutt, CA

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CRD#: 1269062

Professional summary

Anthony Norman Ray, who also goes by Tony Ray, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Orcutt, California and J.W. COLE FINANCIAL, INC. located in Orcutt, California.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Anthony has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Ray

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.

(1) TRUSTEE FOR ANDERSON TRUST, 4393 Westminster Lane, Orcutt, CA 93455; TRUST RELATED SERVICES SINCE 03/2003. INVESTMENT RELATED. I ACT AS TRUSTEE ON BEHALF OF THE TRUST. APPROX. 1-10 HOURS PER MONTH. / CAPITAL ADVISORY SERVICES, INC.- DBA FOR ALL SECURITIES ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Norman Ray's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 10, 2013 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Orcutt, CA

Current

May 10, 2013 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

ORCUTT, CA

Past

November 22, 2010 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

SANTA MARIA, CA

Past

November 22, 2010 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

SANTA MARIA, CA

Past

April 14, 2010 - November 24, 2010

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SANTA MARIA, CA

Past

January 25, 2005 - November 24, 2010

CENTAURUS FINANCIAL, INC.

CRD#: 30833

SANTA MARIA, CA

Past

April 17, 2002 - January 21, 2005

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

SANTA MARIA, CA

Past

March 1, 2002 - January 21, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

May 20, 1997 - March 8, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 4, 1990 - April 28, 1997

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 19, 1987 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

December 6, 1984 - May 29, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 26, 1984 - December 18, 1984

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/10/2013)

IAR

California
(5/10/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Firm Stability Insights

Anthony N. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Norman Ray's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

MORGAN STANLEY DW INC.

TITAN/VALUE EQUITIES GROUP, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 24

Date: 6/30/2011

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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