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Charles Ray

Some features on this profile are disabled
CRD#: 2877503
CR

Professional summary

Charles Ray JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles Ray JR was a registered financial advisor .

Charles is a previously registered financial advisor and started their career in finance in 1998. Charles had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 2004 - June 4, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PALM DESERT, CA
Past

December 15, 2004 - June 4, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
PALM DESERT, CA
Past

August 6, 2004 - December 1, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PALM DESERT, CA
Past

August 6, 2004 - December 1, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 29, 2001 - September 2, 2004

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
PALM SPRINGS, CA
Past

December 7, 2000 - September 2, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

July 21, 1998 - December 8, 2000

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/17/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/20/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures

Regulatory Event53
Civil Event1
Arbitration68

Red Flags

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Company Information

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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