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Philip D. Ray

REGENCY INVESTMENT ADVISORS
FRESNO, CA 93711
Some features on this profile are disabled
CRD#: 2097334
PR

Professional summary

Philip Daniel Ray, CFP®, who also goes by Daniel Ray, is a registered financial advisor currently at REGENCY INVESTMENT ADVISORS INC located in Fresno, California.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Philip has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Daniel 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®
CFP®

Certified Financial Planner

Start date: 1995

Experience

Current

March 27, 1998 - Present

REGENCY INVESTMENT ADVISORS INC

Office #1: 1312 W Herndon, Suite 101, Fresno, CA 93711
RIA
CRD#: 106990
FRESNO, CA
Past

November 21, 1990 - June 2, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 21, 1990 - June 2, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
RI
REGENCY INVESTMENT ADVISORS INC
REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA
Registered Investment Advisory firm - (7/27/1993 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
California
(3/27/1998)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1990
General Securities Representative Examination

Current Firm

RI
REGENCY INVESTMENT ADVISORS INC
REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA
Registered Investment Advisory firm - (7/27/1993 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1312 W Herndon, Suite 101, Fresno, CA 93711
Mailing Address
Phone number
(559) 438-2640
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROCHURE 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts1,914
AUM (Assets Under Management)$ 1,013,305,689

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

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990Fresno, CA 93711

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