KR
Kristi J. Ray
JPMORGAN DISTRIBUTION SERVICES
Columbus, OH 43240
Some features on this profile are disabled
CRD#: 2360967
KR
Professional summary
Kristi J Ray, who also goes by Kristi J Ray, Kristi Jo Ray, is a registered financial professional currently at JPMORGAN DISTRIBUTION SERVICES, INC. located in Columbus, Ohio.
Kristi is registered as a RR (Registered Representative) and started their career in finance in 1997. Kristi has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kristi J Ray | Kristi Jo 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.
CRS (Client Relationship Summary) - BD
Click below to view Kristi J Ray's 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®
NoneExperience
Current
July 22, 2004 - Present
JPMORGAN DISTRIBUTION SERVICES, INC.
Office #1: 1111 Polaris Pkwy, Columbus, OH 43240BD
CRD#: 104234
Columbus, OH
Past
November 25, 1997 - January 8, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/11/2004)
RR
Alaska(8/11/2004)
RR
Arizona(8/11/2004)
RR
Arkansas(8/11/2004)
RR
California(8/11/2004)
RR
Colorado(7/22/2004)
RR
Connecticut(8/11/2004)
RR
Delaware(8/11/2004)
RR
District of Columbia(7/22/2004)
RR
Florida(7/22/2004)
RR
Georgia(8/11/2004)
RR
Hawaii(8/11/2004)
RR
Idaho(8/11/2004)
RR
Illinois(8/11/2004)
RR
Indiana(8/11/2004)
RR
Iowa(8/11/2004)
RR
Kansas(8/11/2004)
RR
Kentucky(8/11/2004)
RR
Louisiana(7/23/2004)
RR
Maine(7/22/2004)
RR
Maryland(7/22/2004)
RR
Massachusetts(8/11/2004)
RR
Michigan(8/11/2004)
RR
Minnesota(8/11/2004)
RR
Mississippi(8/11/2004)
RR
Missouri(8/11/2004)
RR
Montana(8/11/2004)
RR
Nebraska(8/11/2004)
RR
Nevada(8/11/2004)
RR
New Hampshire(8/11/2004)
RR
New Jersey(7/22/2004)
RR
New Mexico(8/11/2004)
RR
New York(8/11/2004)
RR
North Carolina(8/11/2004)
RR
North Dakota(8/11/2004)
RR
Ohio(7/23/2004)
RR
Oklahoma(8/11/2004)
RR
Oregon(8/11/2004)
RR
Pennsylvania(8/11/2004)
RR
Puerto Rico(1/3/2012)
RR
Rhode Island(8/11/2004)
RR
South Carolina(8/11/2004)
RR
South Dakota(8/11/2004)
RR
Tennessee(8/11/2004)
RR
Texas(8/11/2004)
RR
Utah(8/11/2004)
RR
Vermont(7/22/2004)
RR
Virgin Islands(6/18/2018)
RR
Virginia(8/11/2004)
RR
Washington(8/11/2004)
RR
West Virginia(8/11/2004)
RR
Wisconsin(8/11/2004)
RR
Wyoming(8/11/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JD
JPMORGAN DISTRIBUTION SERVICES, INC.
JPMORGAN DISTRIBUTION SERVICES, INC. | ONE GROUP DEALER SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1111 Polaris Parkway, Columbus, OH 43240
Mailing Address
1111 Polaris Parkway Mail Code: Oh1-0004, Columbus, OH 43240
Phone number
(201) 595-1958
Established
Delaware since 10/25/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
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.
