Henry Fraser Gurley Iii
Professional Summary
Henry Fraser Gurley III, who also goes by Henry F Gurley III, Jay Gurley III, Jay Gurley, is a registered financial advisor currently at SUTTER SECURITIES INCORPORATED located in Irvine, California. Henry is registered as a RR (Registered Representative) and started their career in finance in 1986. Henry has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Henry F Gurley Iii, Jay Gurley Iii, Jay Gurley
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Contact Information
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED
Contact Information
Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Phone Number
(415) 352-6300Established
California since 07/22/1992Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | — |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | — |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
| SMITH, LINCOLN JOSEPH JR | CHIEF COMPLIANCE OFFICER | 2501422 |
Disclosures
Regulatory Event
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(7/20/2023)
(1/11/2022)
(4/27/2021)
(2/3/2021)
(1/11/2022)
(1/11/2022)
(1/11/2022)
(1/11/2022)
(1/11/2022)
(4/5/2021)
(1/11/2022)
(1/11/2022)
(3/29/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Henry Fraser Gurley III's CRS (Customer Relationship Summary).
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