Ray G. Gatten
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.
Ray Gowen Gatten was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1977. Ray had worked at 18 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2020 - June 20, 2023
INVICTA CAPITAL LLC
September 5, 2018 - November 13, 2020
NATALLIANCE SECURITIES, LLC
September 22, 2015 - August 5, 2018
OBERON SECURITIES, LLC
February 18, 2014 - September 23, 2015
BONWICK CAPITAL PARTNERS, LLC
January 20, 2010 - February 18, 2014
NATALLIANCE SECURITIES, LLC
April 22, 2008 - February 11, 2010
GATTEN SADOWSKI INC.
May 30, 2007 - October 15, 2007
CANTOR FITZGERALD & CO.
September 12, 2005 - May 17, 2007
FERRIS, BAKER WATTS, LLC
January 13, 2004 - September 14, 2005
STERNE, AGEE & LEACH, INC.
November 1, 2000 - February 3, 2004
RBC CAPITAL MARKETS, LLC
February 15, 2000 - November 2, 2000
WACHOVIA SECURITIES, INC.
October 1, 1999 - February 8, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 2, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 1, 1991 - September 2, 1997
UBS FINANCIAL SERVICES INC.
May 31, 1989 - January 1, 1991
ROTAN MOSLE INC.
January 14, 1988 - June 7, 1989
MORGAN STANLEY DW INC.
June 30, 1986 - January 1, 1988
FIRST FUNDS, INC.
January 31, 1980 - November 5, 1981
UBS FINANCIAL SERVICES INC.
August 28, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 1, 1977 - September 15, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Current Firm
INVICTA CAPITAL LLC
CRD#: 288101 / SEC#: , 8-69923
Contact information
FINRA licenses (34 States and Territories)
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.
