AR
AR

Aniruddha Ray

28 Years of Experience
3 Disclosures
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
7 advisors
Number of Clients
109 clients
Average Client Portfolio
$583K average
Assets Under Management
$63.5M

Fee Structure

Financial Planning:Investment management only
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Location

Henderson, NV

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2006
Settled
Customer Dispute
July 2003
Settled
Criminal
June 1989
Final Disposition
Other Business Activities

Aniruddha operates under the DBA Ray Financial Services since 2002. He also works as a producer/director/actor for RR Film Production, LLC, spending about 10-20% of his time on this activity.

Employment History
Current Registrations
Mdx Wealth Management
March 2016 - Present · 9 yrs 11 mos
Previous Registrations
LPL Financial LLCBroker
December 2002 - April 2016 · 13 yrs 4 mos
LPL Financial LLC
December 2002 - April 2016 · 13 yrs 4 mos
UBS Painewebber INC.
March 1998 - December 2002 · 4 yrs 9 mos
UBS Painewebber INC.Broker
October 1997 - December 2002 · 5 yrs 2 mos
State Registrations4 states
AZCANVTX
Advisor
Exams
No exam information available for this advisor.