Allen D. Ray

ALPHASTAR CAPITAL MANAGEMENT

Clemmons, NC 27012

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CRD#: 1904019

Professional summary

Allen Douglas Ray JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Prior to being barred, Allen has worked at 5 firms, which includes STIFEL INDEPENDENT ADVISORS LLC, J.C. BRADFORD & CO., WACHOVIA SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen Douglas (jr) Ray | Doug Ray | Douglas 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) DSR Investment Management Corp; not investment related; 3554 Clemmons Rd Ste 1 27012; insurance company, Founder and President, start date 2008, I devote 50% of my time to this business; I own the company and run it. (2) Ray Financial LLC; investment-related; 3554 Clemmons Rd Ste 1 27012; IAR related; Founder and Manager; start date 2015; I devote approximately 50% of my time to this business; I own the company and run it.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Douglas Ray JR'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 16, 2023 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 3554 Clemmons Rd. Ste 1, Clemmons, NC 27012

RIA

CRD#: 157423

Clemmons, NC

Past

November 13, 1998 - July 13, 2001

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

ST. LOUIS, MO

Past

May 9, 1997 - October 26, 1998

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

February 24, 1995 - May 6, 1997

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

December 20, 1988 - March 7, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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

North Carolina
(3/16/2023)

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

IAR

Series 65

Date: 9/22/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/25/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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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Allen D. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

J.C. BRADFORD & CO.

WACHOVIA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1994

Series 63

Date: 1/5/1989

SIE

Date: 8/29/2019

Series 31

Date: 5/25/1993

Series 7

Date: 12/17/1988

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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