Unclaimed Profile

Philip Daniel Ray

REGENCY INVESTMENT ADVISORS INC·FRESNO, California

Series 7, Series 63Clean record28 years registeredREGENCY INVESTMENT ADVISORS INC

1312 W HERNDON, SUITE 101, FRESNO, CA 93711CRD# 2097334Firm CRD# 106990

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Philip Daniel Ray · FRESNO, CA

Registration

CRD #2097334 · REGENCY INVESTMENT ADVISORS INC · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: REGENCY INVESTMENT ADVISORS INC

REGENCY INVESTMENT ADVISORS INC

Mar 1998 – Apr 2026

FRESNO, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · March 27, 1998

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

REGENCY INVESTMENT ADVISORS INC

CRD 106990 · SEC 801-44406

AUM

$877M

Regulatory assets under management

Employees

1,752 client accounts

Services offered by REGENCY INVESTMENT ADVISORS INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at REGENCY INVESTMENT ADVISORS INC →

Introduction

Speak with Philip

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Philip is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in FRESNO?

Browse all registered financial advisors in FRESNO, California or claim this profile if it's yours.

Browse FRESNO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Philip Daniel Ray offer?

Philip Daniel Ray specializes in Financial Planning, Investment Management, Wealth Management.

What are Philip Daniel Ray's credentials?

Philip Daniel Ray is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Philip Daniel Ray located?

Philip Daniel Ray is based in FRESNO, California, last registered with REGENCY INVESTMENT ADVISORS INC.

How does Philip Daniel Ray charge for services?

Philip Daniel Ray's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is REGENCY INVESTMENT ADVISORS INC?

REGENCY INVESTMENT ADVISORS INC has approximately 14 employees and manages $877M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →