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Xavier M Ray

Ameriprise Financial Services, LLC

Los Angeles, CA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-04-20
CA RA APPROVED 2026-04-10
  • TX RA
    APPROVED_RES
    Since 2026-04-20
  • CA RA
    APPROVED
    Since 2026-04-10

Branch Locations

2029 Century Park E Ste 2550, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Financial Group Los Angeles CA 03/2015 04/2026
Ameriprise Financial Services, Llc Los Angeles CA 04/2026 Present
Previous Registrations
  • 2015-03-13 → 2026-04-10
    Independent Financial Group, Llc
    Los Angeles, CA
    Los Angeles, CA
    San Diego, CA
  • 2008-01-25 → 2015-03-31
    Questar Asset Management, Inc.
    Minneapolis, MN
    Los Angeles, CA
  • 2007-04-30 → 2008-01-14
    Securities America Advisors, Inc.
    Los Angeles, CA
  • 2004-06-09 → 2006-06-09
    Lpl Financial Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2001-10-09 → 2004-06-18
    Householder Group, Estate & Retirement Specialists
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-03
S63 Uniform Securities Agent State Law Examination 1991-03-08
  • S65 Uniform Investment Adviser Law Examination
    1995-03-03
  • S63 Uniform Securities Agent State Law Examination
    1991-03-08
Designations
Other Names
  • Xray Ray
  • Xavier M Ray
  • Xavier Marshall Ray

View on SEC IAPD

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