Mary Ann Lacey-gray

KOVACK SECURITIES

Fort Lauderdale, FL 33308

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CRD#: 1056480

Professional summary

Mary Ann Lacey-gray, who also goes by Mary Ann Gray, Mary Ann Lacey, Maryann Laceygray, Mary Ann Phillips, is a registered financial professional currently at KOVACK SECURITIES INC. located in Fort Lauderdale, Florida.

Mary Ann is registered as a RR (Registered Representative) and started their career in finance in 1982. Mary Ann has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Ann Gray | Mary Ann Lacey | Maryann Laceygray | Mary Ann Phillips

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mary Ann Lacey-gray's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 9, 2023 - Present

KOVACK SECURITIES INC.

Office #1: 6451 N. Federal Highway Suite 1201, Fort Lauderdale, FL 33308

CRD#: 44848

Fort Lauderdale, FL

Past

June 27, 2007 - June 14, 2023

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Medford, NJ

Past

January 26, 2006 - December 7, 2006

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

N WILDWOOD, NJ

Past

January 2, 2004 - November 23, 2005

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

July 28, 1999 - December 31, 2003

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

October 1, 1997 - April 13, 1999

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

June 3, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

December 16, 1991 - May 31, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 11, 1986 - January 23, 1990

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

July 19, 1982 - December 27, 1984

LEHMAN BROTHERS DISTRIBUTORS INC.

CRD#: 8441

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(6/9/2023)

New Jersey
(6/9/2023)

Exams

State Security Law Exam

Series 63

Date: 5/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/16/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Mailing Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Phone number

(954) 782-4771

Established

Florida since 04/22/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KOVACK FINANCIAL, LLC.	OWNER
KOVACK, BRIAN JOHN	CEO	2809477
SHICK, ISABELLE ALLISON	FINOP	5364794
WOLFE, MELINDA SUE	CHIEF COMPLIANCE OFFICER/EVP	1627593

Disclosures

Regulatory Event	5
Arbitration	5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mary Ann Lacey-gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mary Ann Lacey-gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

CALTON & ASSOCIATES, INC.

USALLIANZ SECURITIES, INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

INVESTORS BROKERAGE SERVICES, INC.

LEHMAN BROTHERS DISTRIBUTORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/1983

SIE

Date: 10/1/2018

Series 6

Date: 7/16/1982

FINRA

Current Firm

KOVACK SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KOVACK SECURITIES INC.

TRUST BUT VERIFY

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