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DG

David R. Gray

Some features on this profile are disabled
CRD#: 1501892
DG

Professional summary

David Robert Gray II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, David had worked at 16 firms, which includes RIDGEWAY & CONGER INC., CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., NATHAN & LEWIS SECURITIES INC., BMA FINANCIAL SERVICES INC., EQUITY SERVICES INC., BARRINGER RYAN VANCE INC., NTB FINANCIAL CORPORATION, B.C. CHRISTOPHER SECURITIES CO., JJC SECURITIES CO. INC., HANIFEN IMHOFF SECURITIES CORP., MORGAN STANLEY DW INC., AMERICAN FRONTEER FINANCIAL CORPORATION, PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., INTERNATIONAL SECURITIES GROUP LTD., THE STUART-JAMES COMPANY INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Robert Ii Gray | Robin Gray Ii | Robin Gray

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 2, 2015 - September 17, 2015

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
NEW WOODSTOCK, NY
Past

March 28, 2005 - December 3, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
GREENWOOD VILLAGE, CO
Past

October 6, 1999 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA
CRD#: 39543
GREENWOOD VILLAGE, CO
Past

September 15, 1999 - August 2, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
GREENWOOD VILLAGE, CO
Past

December 19, 1995 - September 16, 1999

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

August 27, 1993 - January 1, 1996

BMA FINANCIAL SERVICES, INC.

BD
CRD#: 7943
KANSAS CITY, MO
Past

January 16, 1992 - August 27, 1993

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

April 12, 1991 - January 21, 1992

BARRINGER RYAN VANCE, INC.

BD
CRD#: 22756
Past

April 12, 1990 - December 31, 1990

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
HIGHLANDS RANCH, CO
Past

January 25, 1990 - April 20, 1990

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60
KANSAS CITY, MO
Past

January 23, 1990 - February 14, 1990

JJC SECURITIES CO., INC.

BD
CRD#: 3144
Past

October 6, 1989 - February 5, 1990

HANIFEN, IMHOFF SECURITIES CORP.

BD
CRD#: 10620
Past

November 1, 1988 - November 1, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 25, 1988 - November 3, 1988

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
Past

December 15, 1986 - February 4, 1988

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
Past

August 1, 1986 - January 1, 1987

INTERNATIONAL SECURITIES GROUP, LTD.

BD
CRD#: 14499
Past

May 21, 1986 - July 31, 1986

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/14/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/17/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/7/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/1999
General Securities Principal Examination

Current Firm

R&
RIDGEWAY & CONGER, INC.
AMES INVESTMENT & RETIREMENT | WARD WEALTH MANAGEMENT | UPSTATE FINANCIAL CONSULTANTS | TRADE EAGLE CORPORATION | STRONGHEART FINANCIAL | STRATUM FINANCIAL | STRATEGIC FINANCIAL PLANNING | SK CAPITAL MANAGEMENT CONULTANTS, INC. | SILVASOFT | RUSSO INVESTMENTS LLC. | ROBERT VANCE AND ASSOCIATES | RIDGEWAY & CONGER, INC. | PAIGEMICHAEL LLC | OAK FINANCIAL & RETIREMENT PLANNING INC. | MBS SOURCE | MAHTANI FINANCIAL GROUP | LEGACY WEALTH MANAGEMENT, LLC. | INVESTMENTS CONCEPTS | FAUBEL FINANCIAL GROUP | FAIRFIELD FINANCIAL GROUP INC | DISNEY INVESTMENT CO. | DAVIDOW FINANCIAL | BRISARD & BRISARD, INC. | BMB TRADING INC.

CRD#: 113055 / SEC#: , 8-53291

BD
Terminated by SEC on 07/10/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/02/2001
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLAYTON LOWELL & CONGER, INC.OWNER
GARBER, LEIGH MCCOBBPRESIDENT, CEO2768572
GARBER, LEIGH MCCOBBCCO/COO
GARBER, LEIGH MCCOBBMUNI. PRIN./VP/SEC/TREAS/ROSFP2768572

Disclosures

Regulatory Event8
Arbitration2

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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Company Information

RIDGEWAY & CONGER, INC.

CRD#: 113055

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