Allen Douglas Ray

ChFC

15 Years of Experience

6 DisclosuresSells Insurance

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & CoachingInsurance PlanningHigh Net Worth

Alphastar Capital Management

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

107 advisors

Number of Clients

11,592 clients

Average Client Portfolio

$159K average

Assets Under Management

$1.8B

Fee Structure

Minimum Investment:$10K

Location

3554 Clemmons Rd., Ste 1, Clemmons, NC, 27012

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History

Regulatory History (6)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

March 2003

Final

Investigation

July 2001

Regulatory

January 2001

Final

Customer Dispute

August 1998

Settled

Customer Dispute

December 1997

Settled

Customer Dispute

September 1997

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Allen is the Founder and President of DSR Investment Management Corp, an insurance company, dedicating about half of his time to it. He is also the Founder and Manager of Ray Financial LLC, an investment-related business, and spends about half of his time on that as well.

Employment History

Current Registrations

Alphastar Capital Management

March 2023 - Present · 2 yrs 11 mos

Previous Registrations

Century Securities Associates, INC.Broker

November 1998 - July 2001 · 2 yrs 8 mos

J.C. Bradford & CO.Broker

May 1997 - October 1998 · 1 yr 5 mos

Interstate/johnson Lane CorporationBroker

February 1995 - May 1997 · 2 yrs 3 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

December 1988 - March 1995 · 6 yrs 3 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.