Dawn P. 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.
Dawn Pauline Gray, who also goes by Dawn P Hughes, Dawn Pauline Hughes, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1984. Dawn had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 52, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2020 - June 25, 2020
EDWARD JONES
March 3, 2020 - June 25, 2020
EDWARD JONES
March 7, 2005 - April 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2005 - April 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2000 - April 28, 2003
MV SECURITIES GROUP, INC.
January 21, 2000 - July 11, 2000
ALLEN C. EWING & CO.
March 16, 1999 - June 2, 1999
AMSOUTH INVESTMENT SERVICES, INC.
September 3, 1996 - January 1, 1998
AMSOUTH INVESTMENT SERVICES, INC.
November 21, 1995 - September 14, 1996
CAPITAL RESEARCH CORPORATION
February 5, 1994 - February 16, 1995
CITIGROUP GLOBAL MARKETS INC.
December 16, 1993 - January 21, 1994
CITIGROUP GLOBAL MARKETS INC.
July 7, 1993 - July 28, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 1992 - February 12, 1993
LEHMAN BROTHERS INC.
February 26, 1992 - June 16, 1992
CITIGROUP GLOBAL MARKETS INC.
August 23, 1990 - October 17, 1990
WACHOVIA SECURITIES, INC.
April 5, 1986 - August 18, 1990
UBS FINANCIAL SERVICES INC.
July 11, 1985 - February 11, 1986
STERNE, AGEE & LEACH, INC.
July 30, 1984 - August 18, 1990
UBS FINANCIAL SERVICES INC.
January 24, 1984 - March 7, 1984
THOMAS BRYAN & ASSOCIATES, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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 7TO
Date: 3/3/2020
General Securities Representative ExaminationCurrent Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
