Philip D. Ray

REGENCY INVESTMENT ADVISORS

FRESNO, CA 93711

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CRD#: 2097334

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.

MEMBER OF 1312, LLC CREATED JUNE, 2010, TO PURCHASE A COMMERCIAL REAL ESTATE BUILDING LEASE TO REGENCY INVESTMENT ADVISORS AND OTHER TENANTS. ADDRESS IS 1312 W HERNDON, SUITE 101, FRESNO, CA 93711. DEVOTE ~2 HOURS/MONTH OUTSIDE OF OF MY USUAL WORK HOURS AT REGENCY INVESTMENT ADVISORS.

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

CRD#: 6321

MINNEAPOLIS, MN

Past

November 21, 1990 - June 2, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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)

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

Series 63

Date: 12/12/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1990

General Securities Representative Examination

Current Firm

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA

Registered Investment Advisory firm - (7/27/1993 Approved)

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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

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,914
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.

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Philip D. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Daniel Ray's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGENCY INVESTMENT ADVISORS INC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

REGENCY INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/1990

Series 7

Date: 11/19/1990

Current Firm

REGENCY INVESTMENT ADVISORS INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGENCY INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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