Douglas L. 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.
Douglas Lester Ray was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1979. Douglas had worked at 6 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
February 10, 2003 - December 31, 2016
GVC CAPITAL LLC
July 5, 1994 - February 5, 2003
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
October 11, 1990 - July 5, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
May 26, 1984 - November 15, 1990
TAMARON INVESTMENTS, INC.
March 25, 1981 - May 30, 1984
RICHEY, FRANKEL & COMPANY
September 19, 1979 - April 20, 1981
B. J. LEONARD AND COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
