Michael James 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

• 01/1992 → Present
  Michael Ray Income Tax Services
  Stanton, CA
• 07/1994 → 01/2021
  Avantax Investment Services, Inc.
  Los Alamitos, CA
• 08/2019 → Present
  Fiduciary Appointment
  Los Alamitos, CA
• 01/2021 → Present
  Lpl Financial, Llc
  Los Alamitos, CA

Previous Registrations

• 2017-02-03 → 2021-02-02
  Avantax Advisory Services
  Los Alamitos, CA

Other Businesses

1) 1995 - Mortgage/Real Estate Services - Michael Ray - Investment Related - 0% - Los Alamitos, CA 90720 2) 1990 - Tax Prep/Accounting/CPA - Michael Ray - Investment Related - Los Alamitos, CA 90720 3) 2005 - Real Estate Rental - 4622 Katella Ave, LLC - Investment Related - 4622 Katella Ave Los Alamitos, CA 90720 4) 1990 - Real Estate Rental - Investment Related - 1628 Stevely Ave Long Beach, CA 90815 5) 02/09/2022 - Michael Ray Income Tax & Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/01/1989- 120 Hours Per Month/60 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-01-28
• S63 Uniform Securities Agent State Law Examination
  1994-11-01

Other Names

• Michael Ray
• Michael James Ray