Aaron C. Ray
Professional summary
Aaron Christopher Ray was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Aaron Christopher Ray was a registered financial advisor .
Aaron is a previously registered financial advisor and started their career in finance in 2003. Aaron had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2004 - December 31, 2016
VANGUARD CAPITAL
September 15, 2003 - May 19, 2004
BLUE VASE SECURITIES, LLC
July 31, 2003 - May 19, 2004
BLUE VASE SECURITIES, LLC
January 15, 2003 - March 20, 2003
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
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
Current Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
