Harry M. Grey
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.
Harry Matthew Grey, who also goes by Harry M Grey, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1984. Harry had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 1999 - August 23, 2001
FIRST WALL STREET CORP.
June 17, 1998 - March 10, 1999
RICHMARK CAPITAL CORPORATION
June 13, 1996 - November 12, 1997
JOHNSON RESEARCH & CAPITAL INCORPORATED
April 19, 1996 - June 5, 1996
KFS BD, INC.
December 15, 1994 - April 19, 1996
JOHNSON RESEARCH & CAPITAL INCORPORATED
April 20, 1994 - December 15, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 10, 1992 - March 18, 1994
UBS FINANCIAL SERVICES INC.
August 25, 1989 - January 30, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 7, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 29, 1986 - November 24, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
September 25, 1984 - October 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FIRST WALL STREET CORP.
CRD#: 13024 / SEC#: , 8-28441
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
