Thomas Francis Ray

Current Employers

Employment History

• 06/2007 → 08/2017
  Financial West Group
  Santa Rosa, CA
• 08/2017 → Present
  Vanderbilt Securities, Llc
  Petaluma, CA
• 08/2017 → Present
  Vanderbilt Advisory Service
  Petaluma, CA

Previous Registrations

• 2007-06-28 → 2017-08-11
  Financial West Group
  San Francisco, CA
  Westlake Village, CA
  Westlake Village, CA
  Santa Rosa, CA
  San Leandro, CA
  Santa Rosa, CA
  Portland, OR
  Oakland, CA
• 2005-10-18 → 2007-06-29
  Brookstreet Securities Corporation
  Santa Rosa, CA
  Santa Rosa, CA

Other Businesses

1) Thomas F. Ray, Novato, CA - Non-investment related - Co-trustee of family trust, Ray Living Trust. Providing assistance as co-trustee to mother; managing cash flow, paying bills, managing investments, tax preparation & planning, elder care matters. Receive hourly fee & expense reimbursement. No time spent during regular business hours. 2) The Ray Living Trust. Non-investment related. Start date: 10/29/2022. Address: 150 San Carlos Way Novato California, 94945. Title: Trustee. Duties: As trustee, I simply handle all financial and legal affairs on behalf of the trust. There is nothing new to add. time spent during regular business hours: 0%. 3) Fixed Insurance Sales. Not investment Related. Start Date: 11/01/2002. Address: 11 5th Street, Ste. 101D Petaluma CA, 94952. Title: Insurance Agent. Duties: Licensed Life & Health agent - Soliciting business for insurance and annuity products, when suitable for the client or prospect. Reviewing servicing existing contracts as needed. Time spent during regular hours: 0%

Exams

• S66 Uniform Combined State Law Examination
  2004-10-26