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SR

Scott D. Ray

Some features on this profile are disabled
CRD#: 5230521
SR

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.

Scott Donald Ray was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 5 firms and has passed the Series 63, Series 7TO, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 5, 2024 - October 6, 2024

CULVERT CAPITAL LLC

BD
CRD#: 313898
DOWNERS GROVE, IL
Past

May 11, 2020 - September 27, 2021

REDI GLOBAL TECHNOLOGIES LLC

BD
CRD#: 41924
San Francisco, CA
Past

January 7, 2010 - June 10, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
SAN FRANCISCO, CA
Past

April 21, 2009 - December 7, 2009

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
BEVERLY HILLS, CA
Past

November 10, 2006 - April 20, 2009

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/4/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/18/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2013
General Securities Principal Examination

Current Firm

CC
CULVERT CAPITAL LLC
CULVERT CAPITAL LLC

CRD#: 313898 / SEC#: , 8-70695

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4901 Forest Ave Suite C, Downers Grove, IL 60515
Mailing Address
4901 Forest Ave Suite C, Downers Grove, IL 60515
Phone number
(312) 498-4667
Established
Delaware since 03/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WATERSHED TECHNOLOGIES LLCSOLE MEMBER
BARRY, MICHAEL EDWARDCEO, PRINCIPAL1971845
CARROLL, JOHN DAVIDPRINCIPAL FINANCIAL OFFICER5823357
CARROLL, JOHN DAVIDFINOP5823357
CARROLL, JOHN DAVIDCHIEF COMPLIANCE OFFICER5823357

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.

Company Information

CULVERT CAPITAL LLC

CRD#: 313898

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