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Hobdy Ray Bishop

CRD# 4443876·Registered 2001 - 2011
Previously Registered: Being a previously registered professional could mean that Hobdy 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.

Professional Summary

Hobdy Ray Bishop, who also goes by H. Ray Bishop, was a registered financial advisor. Hobdy was a previously registered financial professional and started their career in finance 2001 - 2011. Hobdy had worked at 2 firms and has passed the Series 27 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

H. Ray Bishop

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

ALTA VISTA FINANCIAL, INC.·CRD# 136980
BD
Carlsbad, CA
January 3, 2006 - December 21, 2011
KINSELL, NEWCOMB & DE DIOS, INC·CRD# 16427
BD
Carlsbad, CA
October 3, 2001 - November 25, 2013

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Current Firm

AV
ALTA VISTA FINANCIAL, INC.

ALTA VISTA FINANCIAL, INC.

CRD#: 136980 / SEC#: 8-67054
BD
Terminated by SEC on 02/21/2012

Contact Information

Established

California since 06/02/2004

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
KINSELL, JAMES JEFFERYPRESIDENT, CCO, DIRECTOR270376
NEWCOMB, PAMELA DENISESECRETARY, TREASURER, DIRECTOR1273597
WILLIAMS, JANEES LYNNVICE PRESIDENT4314246
WRIGHT, TRENNIS LEE JRVICE PRESIDENT2151365
BISHOP, HOBDY RAYCHIEF FINANCIAL OFFICER, FINANCIAL PRINCIPAL4443876

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 27 — Financial and Operations Principal Examination

Passed Sep 2001About the Series 27 exam

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CRS (Client Relationship Summary)

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

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