Thomas S. Ray
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.
Thomas Shane Ray, who also goes by Tom Shane Ray, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2015. Thomas had worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2019 - December 20, 2019
SILVER LANE ADVISORS LLC
November 30, 2018 - June 28, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 2018 - June 28, 2022
CARILLON FUND DISTRIBUTORS, INC.
December 23, 2015 - June 28, 2022
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
SILVER LANE ADVISORS LLC
CRD#: 148085 / SEC#: , 8-67965
Contact information
Documents
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.
