Lance R. Ray

BELLWETHER INVESTMENT GROUP

Holly Springs, NC

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CRD#: 3066927

Professional summary

Lance Robert Ray, CFP®, who also goes by Lance Robert Smith, is a registered financial advisor currently at BELLWETHER INVESTMENT GROUP, LLC located in Holly Springs, North Carolina.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Lance has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lance Robert Smith

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.

LANCE R. RAY, CFP,FIXED INSURANCE SALES 704 STREAMWOOD DRIVE HOLLY SPRINGS, NC 27540 START DATE 10/1998 10-15 HOURS/MONTH 4-6 HOURS/TRADING HOURS SELF EMPLOYED FIXED INSURANCE SALES LIFE & HEALTH (DI), LTC (NON VARIABLE/RENTAL INCOME LEASING OF RESIDENCE AND FARM LAND 1 HOUR PER MONTH 0 DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Robert Ray's CRS (Customer Relationship Summary).

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: 2001

Experience

Current

September 1, 2016 - Present

BELLWETHER INVESTMENT GROUP, LLC

RIA

CRD#: 148114

Holly Springs, NC

Past

September 29, 2006 - September 19, 2016

CANTELLA & CO., INC.

RIA

CRD#: 13905

HOLLY SPRINGS, NC

Past

September 29, 2006 - September 19, 2016

CANTELLA & CO., INC.

CRD#: 13905

HOLLY SPRINGS, NC

Past

June 9, 2005 - October 3, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

EAST LANSING, MI

Past

March 7, 2002 - May 23, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 25, 1999 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 27, 1998 - March 8, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BELLWETHER INVESTMENT GROUP, LLC

BELLWETHER INVESTMENT GROUP, LLC | WELLSPRING ADVISORS, LLC | WEALTH FOUNDATION SOLUTIONS, LLC | FOCUS POINTE FINANCIAL

CRD#: 148114 / SEC#: 801-69529

RIA

Registered Investment Advisory firm - (8/21/2008 Approved)

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

North Carolina
(9/1/2016)

IAR

Texas
(3/29/2020)

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

Series 63

Date: 12/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/5/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/2/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2006

General Securities Principal Examination

Current Firm

BELLWETHER INVESTMENT GROUP, LLC

BELLWETHER INVESTMENT GROUP, LLC | WELLSPRING ADVISORS, LLC | WEALTH FOUNDATION SOLUTIONS, LLC | FOCUS POINTE FINANCIAL

CRD#: 148114 / SEC#: 801-69529

RIA

Registered Investment Advisory firm - (8/21/2008 Approved)

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Contact information

Main Address

5502 Hixson Pike Suite G, Hixson, TN 37343

Mailing Address

Phone number

(423) 698-6256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 27 2019 ADV (2/12/2025)

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 137,134,578

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.

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Firm Stability Insights

Lance R. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Robert Ray's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTELLA & CO., INC.

CANTELLA & CO., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

BELLWETHER INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/1998

SIE

Date: 9/19/2016

Series 31

Date: 10/5/2004

Series 7

Date: 2/2/2001

Series 6

Date: 10/26/1998

Series 24

Date: 12/15/2006

Current Firm

BELLWETHER INVESTMENT GROUP, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BELLWETHER INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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