William S. 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.
William Schuyler Gray was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2010 - March 4, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 11, 2010 - March 4, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 13, 2008 - June 11, 2010
RAYMOND JAMES & ASSOCIATES, INC.
May 5, 1998 - June 26, 2008
UBS FINANCIAL SERVICES INC.
June 30, 1994 - April 22, 1998
FIRST OF MICHIGAN CORPORATION
July 31, 1993 - July 8, 1994
CITIGROUP GLOBAL MARKETS INC.
October 23, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
August 24, 1982 - October 19, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 5
Date: 2/21/1990
Interest Rate Options ExaminationSeries 15
Date: 6/10/1986
Foreign Currency Options ExaminationSeries 8
Date: 12/5/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
