Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALLEN DOUGLAS RAY JR
ALLEN DOUGLAS (JR) RAY, DOUG RAY, DOUGLAS RAY
CRD#: 1904019
IA
Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
ALPHASTAR CAPITAL MANAGEMENTCRD#: 157423 3554 Clemmons Rd.
Ste 1
Clemmons, NC 27012
Registration History
19901995200020052010201520202025IAALPHASTAR CAPITAL MANAGEMENT (CRD# 157423)2023 - Present (2 years)BCENTURY SECURITIES ASSOCIATES,... (CRD# 28218)1998 - 2001 (2 years)BJ.C. BRADFORD & CO. (CRD# 1287)1997 - 1998 (1 year)BINTERSTATE/JOHNSON LANE CORPOR... (CRD# 431)1995 - 1997 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 1995 (6 years)
Disclosure(s)
View By:
3/6/2003
Regulatory
Final
7/12/2001
Investigation
1/30/2001
Regulatory
Final
8/20/1998
Customer Dispute
Settled
12/1/1997
Customer Dispute
Settled
9/1/1997
Customer Dispute
Settled
License(s)

State Registrations

IA
North Carolina 3/16/2023
Current Registration(s)
IA
ALPHASTAR CAPITAL MANAGEMENT (CRD#:157423)
3554 Clemmons Rd. Ste 1, Clemmons, NC 27012
Registered with this firm since 3/16/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/13/1998 - 07/13/2001 CENTURY SECURITIES ASSOCIATES, INC. (CRD#:28218) ST. LOUIS, MO
B
 05/09/1997 - 10/26/1998 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
 02/24/1995 - 05/06/1997 INTERSTATE/JOHNSON LANE CORPORATION (CRD#:431) CHARLOTTE, NC
B
 12/20/1988 - 03/07/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.