Stephen L. Gray

FINANCIAL PLANNING SERVICES

The Woodlands, TX 77380

Some features on this profile are disabled

CRD#: 1599415

Professional summary

Stephen Lewis Gray, CFP® is a registered financial advisor currently at FINANCIAL PLANNING SERVICES located in The Woodlands, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Stephen has worked at 1 firm and has passed the Series 63 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

As a CPA I also provide tax preparation services to individuals and businesses. This is not investment related. The address is 2002 Timberloch Place, Ste. 200, The Woodlands, TX 77380. Start date is 01/01/1998. Approx. 30 hours per month are devoted to this business. Duties include tax preparation services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lewis Gray's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

June 23, 2011 - Present

FINANCIAL PLANNING SERVICES

Office #1: 2002 Timberloch Pl., Ste. 200, The Woodlands, TX 77380

RIA

CRD#: 114822

The Woodlands, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(6/23/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/11/1997

Uniform Securities Agent State Law Examination

Current Firm

FINANCIAL PLANNING SERVICES

FINANCIAL PLANNING SERVICES | STEPHEN LEWIS GRAY

CRD#: 114822 / SEC#: 801-66675

RIA

Registered Investment Advisory firm - (4/19/2012 Terminated)

Texas

Registered Investment Advisory firm - (8/16/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2002 Timberloch Pl., Ste. 200, The Woodlands, TX 77380

Mailing Address

Phone number

(281) 363-1680

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 79,000,000

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.

Similar Advisors

Casey Mack

THE SUM

IAR

The Woodlands, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen L. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lewis Gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1997

Current Firm

FINANCIAL PLANNING SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLANNING SERVICES

TRUST BUT VERIFY

Similar Advisors