Kathy Ray (CRD# 5057846) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Auburn, CA and has over 18 years of experience in the finance industry.
CRD# 2579690
Ameriprise Financial Services, LLC
CRD# 5569353
Raymond James Financial Services Advisors, Inc.
CRD# 4383852
Eagle Strategies LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Stifel Nicolaus | Grass Valley, CA | May 2008 - Current | 16 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | May 2006 |
- CA
- TX
-
Total Assets Under Management149,249MILLIONS
-
Total Number of Accounts348,524ACCOUNTS
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Average Account Value$428,231
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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