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Columbus, OH • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-01-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Natinwide Securities Llc | Columbus | OH | 03/2011 | 01/2019 |
| Unemployed | Columbus | OH | 01/2019 | 04/2019 |
| Mutual Of Omaha Investor Services | Columbus | OH | 04/2019 | 09/2019 |
| Mutual Of Omaha Insurance Company | Columbus | OH | 04/2019 | 09/2019 |
| Alphastar Capital Management, Llc | Cornelius | NC | 10/2019 | 01/2024 |
| Square Peg Financial Advisory Services, Llc | Columbus | OH | 10/2019 | Present |
Alan Ray is separately licensed as an independent insurance agent. While Square Peg FAS is the brand associated with his work, the insurance activities are separate from Square Peg Financial Advisory Services, LLC. Square Peg FAS is not an insurance agency and does not own an insurance agency. Alan Ray has been a licensed insurance agent for many years. He became an independent agent for the second time in his career when he established Square Peg Financial Advisory Services, LLC in October, 2019. Alan Ray does not spend time separate from his investment advisory work soliciting insurance sales. If financial plan recommendations include purchasing insurance, he may act as the agent who screens available products and ultimately makes the sale. He may also find it in the client's best interest to work jointly with or turn the case over completely to an agent with greater knowledge or experience with the type of insurance needed. Since he does not actively solicit insurance sales, time spent on insurance per month could average between zero and five hours, possibly during securities trading hours. Insurance product recommendations coming out of a financial plan may include life insurance, long term care insurance, disability income insurance or annuities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-10 |
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