David L. 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.
David Lamar Ray was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2014 - September 2, 2016
RS CORE CAPITAL LLC
August 25, 2003 - February 14, 2008
BNY MELLON SECURITIES CORPORATION
March 18, 1998 - November 3, 2003
FOUNDERS ASSET MANAGEMENT LLC
April 10, 1990 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RS CORE CAPITAL LLC
CRD#: 165078 / SEC#:
Contact information
Red Flags
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