James W. Grey
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.
James William Grey was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 17, 2012 - April 18, 2017
NEXT FINANCIAL GROUP, INC.
January 17, 2012 - April 18, 2017
NEXT FINANCIAL GROUP, INC.
August 5, 2010 - December 31, 2011
LINCOLN INVESTMENT
August 2, 2010 - December 31, 2011
LINCOLN INVESTMENT
March 28, 2005 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 4, 2005 - March 24, 2005
PMG ASSET MANAGEMENT INC
May 17, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
May 17, 2004 - February 15, 2005
PMG SECURITIES CORPORATION
October 28, 2003 - May 17, 2004
MAIN STREET MANAGEMENT COMPANY
July 14, 2000 - May 17, 2004
MAIN STREET MANAGEMENT COMPANY
December 21, 1999 - July 31, 2000
PFS INVESTMENTS INC.
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
