Ray Au (CRD# 5104587) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Seattle, WA and has over 16 years of experience in the finance industry.
CRD# 5925615
Securities America Advisors, Inc.
CRD# 6886032
Capital Partners Wealth Management
CRD# 6533806
Harbour Investments, Inc.
Company Name | Location | Dates | Years |
---|---|---|---|
Bank Of America N.a. | Seattle, WA | Jul 2022 - Current | 1 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle, WA | Jul 2022 - Current | 1 |
R And B International, LLC | Bothell, WA | Jul 2015 - Current | 8 |
Hsbc Bank Usa Na | Seattle, WA | Apr 2017 - Jul 2022 | 5 |
Hsbc Securities Usa Inc. | Seattle, WA | Apr 2017 - Jul 2022 | 5 |
Jp Morgan Securities LLC | Kirkland, WA | Oct 2015 - Mar 2017 | 1 |
Jpmorgan Chase Bank | Kirkland, WA | Oct 2015 - Mar 2017 | 1 |
Jp Morgan Securities LLC | Kirkland, WA | Apr 2015 - Aug 2015 | < 1 |
Jpmorgan Chase Bank | Kirkland, WA | Apr 2015 - Aug 2015 | < 1 |
Unemployed | Bothell, WA | Apr 2014 - Mar 2015 | < 1 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Oct 2007 |
S66 | NASAA Uniform Combined State Law Examination | May 2017 |
- TX
- WA
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- 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
- Other
AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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