William A. Gay

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CRD#: 1829623

Professional summary

William Alan Gay was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, William had worked at 8 firms, which includes ALL-VEST SECURITIES INC., PRIVATE CONSULTING GROUP INC., ASSOCIATED PLANNERS INVESTMENT ADVISORY INC, SOUTHERN FINANCIAL CORPORATION, ASSOCIATED SECURITIES CORP., OGILVIE SECURITY ADVISORS CORPORATION, OSAIC FS INC., CARILLON INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?

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.

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

July 22, 2005 - April 7, 2006

ALL-VEST SECURITIES, INC.

CRD#: 10542

NEW HYDE PARK, NY

Past

June 24, 2004 - November 16, 2004

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

AURORA, CO

Past

June 24, 2004 - November 16, 2004

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

PORTLAND, OR

Past

March 8, 2001 - June 30, 2004

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

AURORA, CO

Past

February 17, 1999 - May 21, 2007

SOUTHERN FINANCIAL CORPORATION

RIA

CRD#: 113346

AURORA, CO

Past

December 18, 1998 - July 23, 2004

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

November 28, 1995 - November 28, 1998

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

September 14, 1992 - December 6, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 31, 1988 - August 31, 1992

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

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: 1/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/2004

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/17/1993

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/27/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/12/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/8/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ALL-VEST SECURITIES, INC.

CRD#: 10542 / SEC#: , 8-27355

Terminated by SEC on 06/06/2006

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 12/17/1981

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
VIRZERA, RICHARD JOSEPH	PRESIDENT	704801
SOUTHERN FINANCIAL CORPORATION	SHAREHOLDER

Disclosures

Arbitration

Red Flags

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Firm Stability Insights

William A. Gay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

SOUTHERN FINANCIAL CORPORATION

ASSOCIATED SECURITIES CORP.

OGILVIE SECURITY ADVISORS CORPORATION

OSAIC FS, INC.

CARILLON INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1999

Series 63

Date: 3/17/1994

Series 7

Date: 7/27/2004

Series 22

Date: 11/17/1993

Series 6

Date: 5/27/1988

Series 51

Date: 9/12/2005

Series 24

Date: 8/27/2005

Series 26

Date: 3/8/1999

Current Firm

ALL-VEST SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALL-VEST SECURITIES, INC.

TRUST BUT VERIFY

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