Raymond C. Ashley
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.
Raymond Clifford Ashley JR, who also goes by Ray Ashley, Raymond Clifford Ashley, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2003 - August 13, 2025
SIGNAL SECURITIES, INC.
September 10, 2001 - August 13, 2025
SIGNAL SECURITIES, INC.
February 5, 1999 - September 7, 2001
PAN-AMERICAN FINANCIAL ADVISERS
March 31, 1989 - February 5, 1999
MUTUAL SERVICE CORPORATION
September 12, 1984 - June 9, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 2, 1982 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
February 18, 1982 - October 22, 1984
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 31, 1975 - January 3, 1983
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 16, 1971 - November 16, 1972
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 14, 1970 - May 12, 1975
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/7/1970
Registered Representative ExaminationCurrent Firm
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
