Noah C. Ray

VAN ECK SECURITIES

Tampa, FL 33609

Some features on this profile are disabled

CRD#: 6819122

Professional summary

Noah Charles Ray is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in Tampa, Florida.

Noah is registered as a RR (Registered Representative) and started their career in finance in 2019. Noah has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Noah Charles Ray's CRS (Customer Relationship Summary).

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

Current

December 5, 2024 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 5100 West Kennedy Blvd Suite 450, Tampa, FL 33609

CRD#: 2269

Tampa, FL

Past

July 7, 2021 - December 22, 2023

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

St. Petersburg, FL

Past

May 29, 2020 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

ST. PETERSBURG, FL

Past

February 21, 2020 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

November 19, 2019 - January 28, 2020

FLORIDA FINANCIAL ADVISORS, LLC

RIA

CRD#: 288811

TAMPA, FL

Past

August 24, 2019 - September 16, 2019

TRINITY WEALTH SECURITIES, L.L.C.

CRD#: 104348

tampa, FL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/17/2025)

Arkansas
(1/17/2025)

Florida
(12/5/2024)

Georgia
(1/17/2025)

Louisiana
(1/17/2025)

Mississippi
(1/17/2025)

New York
(12/5/2024)

Exams

State Security Law Exam

Series 63

Date: 2/27/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/12/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/19/2020

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 8/24/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/29/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Mailing Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Phone number

(212) 293-2000

Established

Delaware since 08/01/1955

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VAN ECK ASSOCIATES CORPORATION	100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAEL	CHIEF COMPLIANCE OFFICER	2099916
RAPPAPORT, LEE ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR	4682842
SIMON, JONATHAN RICH	SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR	5313394
VANECK, JAN FREDERICK	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1695680

Disclosures

Regulatory Event

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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Gustavo Delgado Alicea

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Brandon, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Noah C. Ray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Noah Charles Ray's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FLORIDA FINANCIAL ADVISORS, LLC

TRINITY WEALTH SECURITIES, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/27/2020

Series 65

Date: 11/12/2019

Series 7TO

Date: 5/19/2020

Series 6TO

Date: 8/24/2019

SIE

Date: 7/29/2019

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VAN ECK SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors