Ray Slaughter is a registered investment advisor, based in Omaha, NE, with 26 years of industry experience.
Location
14600 Branch St., Omaha, NE, 68154
Get directionsHistory
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 Activities
Ray works as a compliance analyst for CWM, LLC DBA Carson Group Partners, an SEC registered investment advisory firm, since 2018. This takes about a full-time commitment.
Employment History
Current Registrations
Cetera Wealth Services, LLC
June 2018 - Present · 8 yrs 3 mos
Cetera Wealth Services, LLCBroker
June 2018 - Present · 8 yrs 3 mos
Cwm, LLC
May 2018 - Present · 8 yrs 4 mos
Previous Registrations
TD Ameritrade, INC.
January 2009 - May 2018 · 9 yrs 4 mos
TD Ameritrade, INC.Broker
April 2006 - May 2018 · 12 yrs 1 mo
Ameritrade, INC.Broker
April 2002 - April 2006 · 4 yrs
AXA Advisors, LLCBroker
April 2001 - June 2001 · 2 mos
AmeritradeBroker
January 1999 - April 2001 · 2 yrs 3 mos
State Registrations1 state
NE
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.