Mary Ann Lacey-gray
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Ann Lacey-gray, who also goes by Mary Ann Gray, Mary Ann Lacey, Maryann Laceygray, Mary Ann Phillips, was a registered financial professional .
Mary Ann is a previously registered financial professional and started their career in finance in 1982. Mary Ann had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2023 - December 31, 2025
KOVACK SECURITIES INC.
June 27, 2007 - June 14, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 26, 2006 - December 7, 2006
AMERITAS INVESTMENT COMPANY, LLC
January 2, 2004 - November 23, 2005
CALTON & ASSOCIATES, INC.
July 28, 1999 - December 31, 2003
USALLIANZ SECURITIES, INC.
October 1, 1997 - April 13, 1999
OSAIC FS, INC.
June 3, 1996 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
December 16, 1991 - May 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
December 11, 1986 - January 23, 1990
INVESTORS BROKERAGE SERVICES, INC.
July 19, 1982 - December 27, 1984
LEHMAN BROTHERS DISTRIBUTORS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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