William A. Gray
Professional summary
William Alan Gray is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in East Lansing, Michigan.
William is registered as a RR (Registered Representative) and started their career in finance in 1992. William has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Alan Gray's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2005 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 6259 Pine Hollow Drive, East Lansing, MI 48823February 17, 2004 - September 16, 2005
MML INVESTORS SERVICES, LLC
February 5, 2002 - March 4, 2002
NATIONAL PLANNING CORPORATION
September 25, 1992 - June 15, 2001
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2005)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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