Robert M. Gray
Professional summary
Robert Mark Gray was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Robert had worked at 2 firms, which includes AUFHAUSER SECURITIES INC., NATIONAL CLEARING CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 1998 - September 3, 1998
AUFHAUSER SECURITIES, INC.
April 18, 1996 - June 29, 1998
NATIONAL CLEARING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
AUFHAUSER SECURITIES, INC.
CRD#: 39673 / SEC#: , 8-48786
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUFHAUSER, ROBERT KEITH | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP,SROP,CROP | 1073318 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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