Stuart Ray is a CFP-designated registered investment advisor at Hilltop Securities INC., based in Memphis, TN, with 27 years of industry experience. Stuart is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,407 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 3.00% |
| $250K - $500K | 2.50% |
| $500K - $1000K | 2.25% |
| $1.0M - $4.0M | 2.00% |
| $4M+ | 1.85% |
Rates reflect maximum wrap fee schedules across primary advisory programs (such as Compass UMA and Gateway FSP). Fees are negotiable and vary by program.
Fee Estimator
Location
5350 Poplar Ave., Suite 150, Memphis, TN, 38119
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Regulatory History
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 →Employment History
Current Registrations
Hilltop Securities INC.
Hilltop Securities INC.Broker
Previous Registrations
B. Riley Wealth Advisors, INC.
B. Riley Wealth ManagementBroker
B Riley Wealth Management
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations14 states
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
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