Michael L. Ray
Professional summary
Michael L Ray, who also goes by Michael Lee Ray, Mike Ray, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Westlake, Ohio.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has 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) - BD
Click below to view Michael L Ray's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2022 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: 1 Equity Way, Westlake, OH 44145September 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 ExaminationFINRA
Current 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.
