Joseph H. 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.
Joseph Howard Ray, who also goes by Joseph Howard Ray, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 3 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2021 - January 2, 2023
BEACON POINTE ADVISORS, LLC
June 21, 2017 - September 8, 2021
WEALTHSTREET INVESTMENT ADVISORS, LLC
April 11, 1996 - March 19, 2018
GERALD L. RAY & ASSOCIATES, LTD.
Primary Firm SEC Registration
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
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
Series 2
Date: 12/12/1995
Non-Member General Securities ExaminationCurrent Firm
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,870 |
| AUM (Assets Under Management) | $ 39,839,757,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/26/2024 | ||
| 11/28/2023 |
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.
