James R Ray

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → 04/2018
  Bmo Harris Bank
  Lake Forest, IL
• 01/2015 → 04/2018
  Bmo Harris Financial Adivsors
  Lake Forest, IL
• 04/2018 → 02/2024
  Iht Wealth Management
  Skokie, IL
• 02/2019 → Present
  Lpl Financial Llc
  Lake Forest, IL

Previous Registrations

• 2018-04-24 → 2024-02-05
  Iht Wealth Management Llc
  Skokie, IL
  Chicago, IL
• 2015-01-22 → 2018-04-05
  Bmo Harris Financial Advisors, Inc.
  Lake Forest, IL
  Winnetka, IL
• 2010-10-07 → 2014-08-05
  Fifth Third Securities, Inc.
  Lake Forest, IL
• 2010-04-16 → 2010-09-17
  Investment Professionals, Inc.
  San Antonio, TX
  Chicago, IL
• 2008-03-04 → 2009-04-30
  Plante Moran Financial Advisors
  Chicago, IL
• 2005-02-28 → 2005-08-26
  Harrisdirect Llc
  Westchester, IL
• 2003-06-23 → 2005-02-16
  Citigroup Global Markets Inc.
  Oakbrook Terrace, IL

Other Businesses

1. 2/11/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 3/4/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 04/01/2018 - 40 Hours Per Month/2 Hours During Securities Trading - Time Spent 5% - I provide investment advisory services through IHT Wealth Management, an independent investment advisor firm. I started this business activity in 04/01/2018. I expect to spend approximately 40 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/29/2019 - Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/22/2019 - 23 Hours Per Month/2 Hours During Securities Trading. 4. 3/4/2020 - Exactus Advisors - Not Investment Related - John Hancock Center, 875 N. Michigan Avenue, 31st Floor, Chicago, IL 60611 - Outside/W-2 Employment - Started 02/04/2020 - 4 Hours Per Month/0 Hours During Securities Trading - Providing general information based on my experiences at 5/3 and BMO on technology.

Exams

• S63 Uniform Securities Agent State Law Examination
  2010-05-21
• S65 Uniform Investment Adviser Law Examination
  2003-06-17

Designations

• Certified Financial Planner

Other Names

• James Ray Ray
• Jim Ray
• Jimmy Ray
• James Robert Ray
• James Robert Ray