Alan I. 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.
Alan Ira Gray was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - April 10, 2018
FORESIDE FUND SERVICES, LLC
April 17, 2013 - April 17, 2018
WELLESLEY ASSET MANAGEMENT, INC.
February 21, 2013 - December 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
February 7, 2012 - January 15, 2013
FORESIDE FUND SERVICES, LLC
February 1, 2011 - February 7, 2012
SAXONY CAPITAL MANAGEMENT, LLC
October 14, 2010 - February 7, 2012
PATRICK CAPITAL MARKETS, LLC
December 21, 2007 - February 6, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 21, 2007 - February 6, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 27, 2006 - December 10, 2007
LANDMARK INVESTMENT GROUP, INC
August 26, 2004 - March 15, 2005
SECURIAN FINANCIAL SERVICES, INC.
August 26, 2004 - March 15, 2005
SECURIAN FINANCIAL SERVICES, INC.
June 7, 2002 - July 22, 2004
AIM PRIVATE ASSET MANAGEMENT
March 23, 1994 - July 22, 2004
INVESCO DISTRIBUTORS, INC.
November 10, 1992 - January 21, 1994
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
July 28, 1989 - November 23, 1992
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 17, 1988 - March 7, 1989
MARKETING ONE SECURITIES, INC.
March 10, 1987 - December 23, 1987
LEHMAN BROTHERS INC.
August 21, 1986 - March 24, 1987
CONSOLIDATED RESOURCES, INC.
January 21, 1986 - August 11, 1986
BALCOR SECURITIES COMPANY
November 19, 1985 - January 2, 1986
LEHMAN BROTHERS INC.
August 26, 1982 - November 8, 1985
BALCOR SECURITIES COMPANY
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
