David W. Ray
Professional summary
David Wayne Ray is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Hillsborough, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Wayne Ray's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2018 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2023)
(6/12/2019)
(6/12/2019)
(6/12/2019)
(1/1/2019)
(6/12/2019)
(3/31/2022)
(1/13/2023)
Exams
Series 6TO
Date: 12/17/2018
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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