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DR

Diane L. Ray

CFD INVESTMENTS
Fairfield, OH 45014
Some features on this profile are disabled
CRD#: 1356525
DR

Professional summary

Diane Lynn Ray is a registered financial professional currently at CFD INVESTMENTS, INC. located in Fairfield, Ohio.

Diane is registered as a RR (Registered Representative) and started their career in finance in 1985. Diane has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diane Lynn 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

April 29, 2024 - Present

CFD INVESTMENTS, INC.

Office #1: 3174 Mack Rd Ste 8, Fairfield, OH 45014
BD
CRD#: 25427
Fairfield, OH
Past

September 12, 2014 - April 26, 2024

STONEX SECURITIES INC.

BD
CRD#: 18456
FAIRFIELD, OH
Past

March 14, 2001 - December 31, 2008

WRP INVESTMENTS, INC.

RIA
CRD#: 7365
FAIRFIELD, OH
Past

January 7, 1997 - September 12, 2014

WRP INVESTMENTS, INC.

BD
CRD#: 7365
FAIRFIELD, OH
Past

August 18, 1995 - January 10, 1997

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

April 18, 1985 - May 30, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
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

RR
California
(1/7/2025)
RR
Florida
(4/30/2024)
RR
Indiana
(4/29/2024)
RR
Kentucky
(5/3/2024)
RR
Missouri
(5/2/2024)
RR
Ohio
(4/29/2024)
RR
South Carolina
(5/16/2025)
RR
West Virginia
(5/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/17/1985
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CFD INVESTMENTS, INC.
CFD INVESTMENTS, INC. | CFD SECURITIES, INC.

CRD#: 25427 / SEC#: , 8-41727

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Indiana since 12/10/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BRAUN, BRIGIT ROWNER6585909
OWENS, BRENT ANTHONYPRESIDENT/DIRECTOR2261719
ROCKEY, BROOKE LEIGHOWNER4817176
THE OWENS FAMILY TRUST DATED 8/1/2017OWNER
BAHRENBURG, MATTHEW OCHIEF COMPLIANCE OFFICER5295661
HALE, DANIEL KRISOWNER, VICE PRESIDENT, DIRECTOR2649813
OWENS, MICKEY LEEDIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/20171437001
ROCKEY, CHRISTOPHER MOWNER5504531
ROOZE, KREGG JERRODDIRECTOR, SECRETARY, TREASURER3174063

Disclosures

Regulatory Event8
Bond1

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.

Company Information

CFD INVESTMENTS, INC.

CRD#: 25427Fairfield, OH 45014

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