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RH

Ray P. Huie

FUTU CLEARING
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 2896149
RH

Professional summary

Ray Phillip Huie is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Ray is registered as a RR (Registered Representative) and started their career in finance in 1997. Ray has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 79TO, Series 52TO, Series 82TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 12, Series 53, Series 4 and Series 24 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) - BD

Click below to view Ray Phillip Huie'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®
None

Experience

Current

September 7, 2022 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251
BD
CRD#: 298769
Dallas, TX
Past

November 17, 2022 - February 8, 2024

FUTU WEALTH ADVISORS, INC.

RIA
CRD#: 310790
Dallas, TX
Past

February 14, 2019 - July 24, 2019

FSW ADVISORY SERVICES INC.

RIA
CRD#: 148818
DALLAS, TX
Past

January 8, 2019 - August 11, 2022

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA
CRD#: 110760
DALLAS, TX
Past

October 16, 2017 - August 11, 2022

MOMENTUM INDEPENDENT NETWORK INC.

RIA
CRD#: 17587
DALLAS, TX
Past

October 16, 2017 - August 11, 2022

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
DALLAS, TX
Past

October 16, 2017 - August 11, 2022

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

October 16, 2017 - August 11, 2022

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

December 6, 2005 - December 31, 2015

PROSPERA FINANCIAL SERVICES, INC.

RIA
CRD#: 10740
DALLAS, TX
Past

December 6, 2005 - December 31, 2015

PROSPERA FINANCIAL SERVICES, INC.

BD
CRD#: 10740
DALLAS, TX
Past

November 8, 2004 - November 22, 2005

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

October 18, 2004 - November 22, 2005

MOMENTUM INDEPENDENT NETWORK INC.

RIA
CRD#: 17587
DALLAS, TX
Past

March 5, 2004 - June 7, 2004

MOMENTUM INDEPENDENT NETWORK INC.

RIA
CRD#: 17587
DALLAS, TX
Past

March 5, 2004 - November 22, 2005

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
DALLAS, TX
Past

October 9, 2003 - June 7, 2004

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

October 7, 2003 - November 22, 2005

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

September 11, 2002 - October 9, 2003

MYDISCOUNTBROKER.COM

BD
CRD#: 42565
DALLAS, TX
Past

June 6, 2000 - October 7, 2003

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

November 20, 1997 - June 15, 2000

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

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
Texas
(9/7/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/1/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/2/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/23/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 12
Date: 2/23/2004
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/7/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/7/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FUTU CLEARING INC
FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Mailing Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Phone number
(972) 665-6903
Established
Delaware since 08/13/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FUTU US INCOWNER
DU, SHUANGHEAD OF US OPERATIONS5005050
KELLY, PATRICK JAMESCHIEF EXECUTIVE OFFICER3126322
SHARMA, VICKRAMJITCHIEF LEGAL OFFICER7186502
SHEN, QIUFANGHEAD OF FINANCE3158926
STIFELMAN, GLEN ROBERTCHIEF COMPLIANCE OFFICER1699013

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.

Company Information

FUTU CLEARING INC

CRD#: 298769Dallas, TX 75251

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