Thomas Ray is a registered investment advisor, based in Petaluma, CA, with 25 years of industry experience.
Location
11 5th St, Ste. 101D, Petaluma, CA, 94952
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is a co-trustee of the Ray Living Trust, assisting his mother with financial and legal affairs. He is also a licensed insurance agent selling life insurance and annuity products since 2002.
Employment History
Current Registrations
Vanderbilt Securities, LLCBroker
August 2017 - Present · 8 yrs 9 mos
Vanderbilt Advisory Services
August 2017 - Present · 8 yrs 9 mos
Previous Registrations
Financial West GroupBroker
June 2007 - August 2017 · 10 yrs 2 mos
Financial West Group
June 2007 - August 2017 · 10 yrs 2 mos
Brookstreet Capital Management
October 2005 - June 2007 · 1 yr 8 mos
Brookstreet Securities CorporationBroker
September 2001 - June 2007 · 5 yrs 9 mos
Mutual Securities, INC.Broker
November 2000 - September 2001 · 10 mos
State Registrations4 states
CACOCTHI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.