Troy Ray

Current Employers

Berger Financial Group

1695 State Hwy 169 N, Plymouth, MN 55441 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-11-14
AZ	RA	APPROVED	2021-10-22

TX RA
APPROVED_RES

Since 2023-11-14
AZ RA
APPROVED

Since 2021-10-22

Branch Locations

1695 State Hwy 169 N, Plymouth, MN 55441 • United States

13517 W Camino Del Sol, Sun City, AZ 85375 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	09/2016	08/2021
Bank Of America, N.A.	Chandler	AZ	06/2018	08/2021
Berger Financial Group	Plymouth	MN	08/2021	Present

09/2016 → 08/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
06/2018 → 08/2021

Bank Of America, N.A.

Chandler, AZ
08/2021 → Present

Berger Financial Group

Plymouth, MN

Previous Registrations

2016-11-28 → 2021-08-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-11-23
S63	Uniform Securities Agent State Law Examination	2015-09-17

S66 Uniform Combined State Law Examination

2016-11-23
S63 Uniform Securities Agent State Law Examination

2015-09-17

Other Names

Troy Garrison Ray

View on SEC IAPD