Michael R. Gray
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.
Michael Richard Gray was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2020 - February 3, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
November 4, 2020 - February 3, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
November 14, 2017 - July 13, 2020
REALTA INVESTMENT ADVISORS, INC
November 14, 2017 - July 13, 2020
REALTA EQUITIES, INC.
January 28, 2015 - October 17, 2017
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - October 17, 2017
CAPITAL ONE INVESTING, LLC
February 19, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
February 19, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
February 17, 2012 - February 19, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 17, 2012 - February 19, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 10, 2009 - February 24, 2012
TRUIST INVESTMENT SERVICES, INC.
November 10, 2009 - February 24, 2012
TRUIST INVESTMENT SERVICES, INC.
October 23, 2009 - November 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 5, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2000 - December 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - December 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 1, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 15, 1996 - December 1, 1997
BOWLES HOLLOWELL CONNER & CO.
May 9, 1989 - April 3, 1996
METROPOLITAN LIFE INSURANCE COMPANY
May 9, 1989 - April 3, 1996
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
