William C. 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.
William Corley Ray, who also goes by Bill Ray, William C Ray, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 4 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2012 - September 15, 2016
ANICO FINANCIAL SERVICES, INC.
June 23, 2008 - September 4, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
April 19, 2006 - July 26, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
November 13, 1998 - July 26, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
May 26, 1993 - September 1, 1998
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ANICO FINANCIAL SERVICES, INC.
CRD#: 158883 / SEC#: , 8-68938
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
