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Stuart A Ray

Hilltop Securities Inc.

Memphis, TN

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Current Employers
Hilltop Securities Inc.

717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-01-31
NV RA APPROVED 2024-08-08
TN RA APPROVED 2024-08-08
FL RA APPROVED 2024-08-06
AR RA APPROVED 2024-08-05
IL RA APPROVED 2024-08-05
KY RA APPROVED 2024-08-05
MS RA APPROVED 2024-08-05
OH RA APPROVED 2024-08-05
OR RA APPROVED 2024-08-05
TX RA APPROVED 2024-08-05
WA RA APPROVED 2024-08-05
  • GA RA
    APPROVED
    Since 2025-01-31
  • NV RA
    APPROVED
    Since 2024-08-08
  • TN RA
    APPROVED
    Since 2024-08-08
  • FL RA
    APPROVED
    Since 2024-08-06
  • AR RA
    APPROVED
    Since 2024-08-05
  • IL RA
    APPROVED
    Since 2024-08-05
  • KY RA
    APPROVED
    Since 2024-08-05
  • MS RA
    APPROVED
    Since 2024-08-05
  • OH RA
    APPROVED
    Since 2024-08-05
  • OR RA
    APPROVED
    Since 2024-08-05
  • TX RA
    APPROVED
    Since 2024-08-05
  • WA RA
    APPROVED
    Since 2024-08-05

Branch Locations

5350 Poplar Ave. Suite 150, Memphis, TN 38119 • 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
Morgan Stanley Smith Barney Memphis TN 06/2009 07/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2017
Wunderlich Securities, Inc. Memphis TN 07/2017 07/2017
B. Riley Wealth Management Memphis TN 07/2017 08/2024
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 08/2024
Hilltop Securities Inc. Memphis TN 08/2024 Present
  • 06/2009 → 07/2017
    Morgan Stanley Smith Barney
    Memphis, TN
  • 01/2015 → 07/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2017 → 07/2017
    Wunderlich Securities, Inc.
    Memphis, TN
  • 07/2017 → 08/2024
    B. Riley Wealth Management
    Memphis, TN
  • 07/2022 → 08/2024
    B. Riley Wealth Advisors, Inc.
    Memphis, TN
  • 08/2024 → Present
    Hilltop Securities Inc.
    Memphis, TN
Previous Registrations
  • 2022-08-25 → 2024-08-08
    B. Riley Wealth Advisors, Inc.
    Memphis, TN
  • 2017-07-11 → 2022-12-31
    B. Riley Wealth Management
    Memphis, TN
    Memphis, TN
  • 2009-06-01 → 2017-07-12
    Morgan Stanley
    Memphis, TN
    Memphis, TN
    Memphis, TN
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Memphis, TN
  • 2004-01-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Memphis, TN
    Memphis, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-10-02
  • S66 Uniform Combined State Law Examination
    1999-10-02
Designations
Other Names
  • Stuart Allan Ray

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
NEWSOUTH CAPITAL MANAGEMENT INC · MEMPHIS, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
PRIVATE ADVISOR GROUP, LLC · Memphis, TN
LPL FINANCIAL LLC · MEMPHIS, TN
B. RILEY WEALTH ADVISORS, INC. · Memphis, TN

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