William E. 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 Elton Gray was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 4 firms and has passed the Series 63 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
October 9, 2003 - December 21, 2005
WAVELAND CAPITAL PARTNERS LLC
October 28, 1997 - November 15, 2002
VESTAX SECURITIES CORPORATION
April 10, 1997 - August 28, 1997
WOODBURY FINANCIAL SERVICES, INC.
February 19, 1985 - June 11, 1996
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
WAVELAND CAPITAL PARTNERS LLC
CRD#: 40054 / SEC#: , 8-48962
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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