Nicholas Sangster 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

• 12/2016 → 04/2017
  Keller Williams Realty
  Plainville, MA
• 09/2012 → 04/2017
  Fulcrum Athletics Llc
  Attleboro, MA
• 02/2015 → 04/2017
  Crossfit Tri County
  Bellingham, MA
• 04/2017 → 07/2022
  Morgan Stanley
  Norwell, MA
• 06/2017 → 07/2022
  Morgan Stanley Private Bank, National Association
  New York, NY
• 07/2022 → 09/2025
  Ubs Financial Services.iNc
  Greenville, SC
• 09/2025 → Present
  Lpl Financial Llc
  Greenville, SC

Previous Registrations

• 2022-07-21 → 2025-09-19
  Ubs Financial Services Inc.
  Greenville, SC
• 2017-05-23 → 2022-07-21
  Morgan Stanley
  Norwell, MA

Other Businesses

1. 09/2025 - Ox Road Capital - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 8 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 09/10/2025

Exams

• S66 Uniform Combined State Law Examination
  2017-05-23