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Philip D. Ray

Some features on this profile are disabled
CRD#: 2097334
PR

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.

Philip Daniel Ray, CFP®, who also goes by Daniel Ray, was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1990. Philip had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 27, 1998 - April 30, 2026

REGENCY INVESTMENT ADVISORS INC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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#: 106990

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