Steven M. Ray
Professional summary
Steven Michael Ray was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Steven had worked at 1 firm, which includes TEXCO SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2006 - October 1, 2007
TEXCO SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TEXCO SECURITIES, INC.
CRD#: 137478 / SEC#: , 8-67089
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRITON EP, LLC | SHAREHOLDER OF 100% OF THE STOCK OF TEXCO SECURITIES | |
| SIMMONS, BRAD LEE | PRINCIPAL, FINOP | 3129381 |
| SMITH, TERESA, ANN | SOLE DIRECTOR |
Red Flags
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