Deborah L. Ray
Professional summary
Deborah L Ray, who also goes by Deb L Ray, Debby L Ray, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Bradford, New Hampshire.
Deborah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Deborah has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Deborah L Ray's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2022 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
March 1, 2019 - September 12, 2022
PINNACLE PRIVATE WEALTH, LLC
November 2, 2018 - October 6, 2022
TRIAD ADVISORS LLC
April 27, 2010 - March 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2010 - March 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/25/2022)
(8/31/2022)
Exams
Current Firm
U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
Contact information
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,833 |
| AUM (Assets Under Management) | $ 7,282,480,817 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 02/21/2025 | ||
| 01/23/2024 | ||
| 03/24/2023 |
Red Flags
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