Michael L. 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.
Michael L Ray, who also goes by Michael Lee Ray, Mike Ray, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2022 - May 8, 2026
ETC BROKERAGE SERVICES, LLC
September 17, 2015 - August 23, 2022
VICTORY CAPITAL SERVICES, INC.
September 21, 2010 - September 11, 2015
PNC WEALTH MANAGEMENT LLC
June 23, 2008 - August 23, 2010
VICTORY CAPITAL SERVICES, INC.
May 2, 2000 - June 10, 2008
KEYBANC CAPITAL MARKETS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
