William P. Gray

MMA SECURITIES LLC

Saddlebrook, NJ 07663

Some features on this profile are disabled

CRD#: 1790802

Professional summary

William Patrick Gray, who also goes by Bill Gray, is a registered financial advisor currently at MMA SECURITIES LLC located in Saddlebrook, New Jersey.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill 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 Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Patrick Gray's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Patrick Gray's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 16, 2015 - Present

MMA SECURITIES LLC

Office #1: Park 80 West, Plaza Two 250 Pehle Ave., Suite 400, Saddlebrook, NJ 07663

RIA

CRD#: 44254

Saddlebrook, NJ

Current

July 20, 2000 - Present

MMA SECURITIES LLC

Office #1: Park 80 West, Plaza Two 250 Pehle Ave., Suite 400, Saddlebrook, NJ 07663

RIA

CRD#: 44254

Saddlebrook, NJ

Past

November 19, 1997 - July 25, 2000

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

March 24, 1988 - November 19, 1997

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

March 22, 1988 - March 26, 1988

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/3/2016)

Alaska
(10/4/2013)

Arizona
(10/22/2013)

Arkansas
(10/11/2013)

California
(9/24/2013)

Colorado
(10/11/2013)

Connecticut
(7/20/2000)

Delaware
(9/24/2013)

District of Columbia
(10/10/2013)

Florida
(8/30/2001)

Georgia
(9/24/2013)

Idaho
(9/24/2013)

Illinois
(9/15/2016)

Indiana
(10/10/2013)

Iowa
(7/31/2013)

Kansas
(1/9/2014)

Kentucky
(9/24/2013)

Louisiana
(9/24/2013)

Maine
(12/9/2019)

Maryland
(9/24/2013)

Massachusetts
(4/28/2003)

Michigan
(10/16/2013)

Minnesota
(9/24/2013)

Mississippi
(9/24/2013)

Missouri
(9/24/2013)

Montana
(10/1/2013)

Nebraska
(11/8/2013)

Nevada
(11/21/2013)

New Hampshire
(5/21/2014)

New Jersey
(7/20/2000)

IAR

New Jersey
(10/16/2015)

New Mexico
(9/15/2016)

New York
(7/20/2000)

IAR

New York
(6/20/2025)

North Carolina
(7/20/2000)

North Dakota
(10/14/2015)

Ohio
(9/24/2013)

Oklahoma
(9/24/2013)

Oregon
(12/10/2015)

Pennsylvania
(11/15/2001)

Rhode Island
(9/24/2013)

South Carolina
(10/4/2013)

South Dakota
(9/24/2013)

Tennessee
(7/15/2016)

Texas
(10/30/2006)

Utah
(9/24/2013)

Vermont
(12/5/2008)

Virginia
(9/24/2013)

Washington
(9/24/2013)

West Virginia
(9/24/2013)

Wisconsin
(6/3/2013)

Wyoming
(10/2/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/13/2013

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

1166 Avenue Of The Americas, New York, NY 10036

Mailing Address

1166 Avenue Of The Americas, New York, NY 10036

Phone number

(917) 625-4069

Established

New Jersey since 02/03/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

179

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
MARSH INSURANCE & INVESTMENTS LLC	OWNER
BARTKUS, BRIAN EDWARD	SENIOR SUPERVISORY PRINCIPAL	2827119
BLACKMORE, KIMBERLY LYNN	FINOP, CFO, PFO, POO, AND DIRECTOR	2219307
REID, CRAIG J	PRESIDENT, DIRECTOR	6280558
WEINSTOCK, JUDITH ANN	CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR	8096565

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William P. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Patrick Gray's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Patrick Gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

TOWER SQUARE SECURITIES, INC.

CARILLON INVESTMENTS, INC.

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2011

Series 63

Date: 5/18/1988

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1988

Series 26

Date: 5/13/2013

FINRA

Current Firm

MMA SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MMA SECURITIES LLC

TRUST BUT VERIFY

Contact information

Similar Advisors