Alan B. Ray

SQUARE PEG FINANCIAL ADVISORY SERVICES

Columbus, OH

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CRD#: 2867655

Professional summary

Alan Brokenburr Ray, CFP® is a registered financial advisor currently at SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC located in Columbus, Ohio.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Alan has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Alan Ray is separately licensed as an independent insurance agent. While Square Peg FAS is the brand associated with his work, the insurance activities are separate from Square Peg Financial Advisory Services, LLC. Square Peg FAS is not an insurance agency and does not own an insurance agency. Alan Ray has been a licensed insurance agent for many years. He became an independent agent for the second time in his career when he established Square Peg Financial Advisory Services, LLC in October, 2019. Alan Ray does not spend time separate from his investment advisory work soliciting insurance sales. If financial plan recommendations include purchasing insurance, he may act as the agent who screens available products and ultimately makes the sale. He may also find it in the client's best interest to work jointly with or turn the case over completely to an agent with greater knowledge or experience with the type of insurance needed. Since he does not actively solicit insurance sales, time spent on insurance per month could average between zero and five hours, possibly during securities trading hours. Insurance product recommendations coming out of a financial plan may include life insurance, long term care insurance, disability income insurance or annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Brokenburr 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

January 9, 2024 - Present

SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC

RIA

CRD#: 327940

Columbus, OH

Past

November 4, 2019 - January 2, 2024

ALPHASTAR CAPITAL MANAGEMENT

RIA

CRD#: 157423

Columbus, OH

Past

April 1, 2019 - October 10, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

WORTHINGTON, OH

Past

April 1, 2019 - October 10, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

WORTHINGTON, OH

Past

March 31, 2011 - March 29, 2019

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

Grandview Heights, OH

Past

March 30, 2011 - March 29, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

Grandview Heights, OH

Past

May 22, 2006 - May 11, 2009

SPC

RIA

CRD#: 110692

COLUMBUS, OH

Past

May 19, 2006 - May 11, 2009

SIGMA FINANCIAL CORPORATION

CRD#: 14303

COLUMBUS, OH

Past

August 3, 2004 - May 22, 2006

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

GROVEPORT, OH

Past

July 22, 2003 - May 22, 2006

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

GROVEPORT, OH

Past

November 10, 1998 - July 17, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 10, 1998 - July 17, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 8, 1998 - January 19, 1999

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

September 12, 1997 - June 8, 1998

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 12, 1997 - June 8, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

Ohio
(1/9/2024)

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

IAR

Series 66

Date: 8/2/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/2016

General Securities Principal Examination

Current Firm

SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC

SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC | SQUARE PEG FINANCIAL SERVICES, LLC

CRD#: 327940 / SEC#:

Ohio

Registered Investment Advisory firm - (11/27/2023 Approved)

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Contact information

Main Address

Columbus, OH

Mailing Address

Phone number

(614) 507-7710

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 1,600,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Alan B. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Brokenburr Ray's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHASTAR CAPITAL MANAGEMENT

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

SPC

SIGMA FINANCIAL CORPORATION

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2004

Series 63

Date: 9/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2004

Series 6

Date: 9/10/1997

Series 24

Date: 7/11/2016

Current Firm

SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SQUARE PEG FINANCIAL ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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