Michael W. 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 William Gray, who also goes by Bill Gray, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
May 1, 2008 - September 16, 2021
CANTELLA & CO., INC.
February 12, 2008 - May 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
April 10, 1991 - June 7, 2002
EDWARD JONES
October 19, 1990 - April 10, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 19, 1990 - April 10, 1991
PRUCO SECURITIES, LLC.
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
