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Kent Arthur Ray

Stifel, Nicolaus & Company, Incorporated

Portage, MI

Indianapolis, IN

Carmel, IN

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-07-26
MI RA APPROVED 2017-02-24
TX RA APPROVED 2017-02-24
  • IN RA
    APPROVED
    Since 2022-07-26
  • MI RA
    APPROVED
    Since 2017-02-24
  • TX RA
    APPROVED
    Since 2017-02-24

Branch Locations

950 Trade Center Way Suite 305, Portage, MI 49002 • United States

8900 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States

Carmel, IN • 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
Wells Fargo Advisors Llc Portage MI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Portage MI 11/2016 02/2017
Stifel Nicolaus & Co Inc Portage MI 02/2017 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Portage, MI
  • 11/2016 → 02/2017
    Wells Fargo Clearing Services, Llc
    Portage, MI
  • 02/2017 → Present
    Stifel Nicolaus & Co Inc
    Portage, MI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-17
S63 Uniform Securities Agent State Law Examination 1983-12-19
  • S66 Uniform Combined State Law Examination
    2007-07-17
  • S63 Uniform Securities Agent State Law Examination
    1983-12-19

View on SEC IAPD

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