Douglas K. 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.
Douglas Kent Gray was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - October 23, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 6, 2011 - October 23, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 18, 2003 - January 14, 2004
PRUCO SECURITIES, LLC.
July 2, 2002 - December 31, 2002
TRUSTED SECURITIES ADVISORS CORP.
January 24, 2000 - December 19, 2001
METROPOLITAN LIFE INSURANCE COMPANY
January 24, 2000 - December 19, 2001
MSI FINANCIAL SERVICES, INC.
September 20, 1996 - October 27, 1999
PRUCO SECURITIES, LLC.
October 24, 1995 - August 27, 1996
PRINCIPAL SECURITIES, INC.
July 26, 1995 - October 5, 1995
FSC SECURITIES CORPORATION
September 8, 1994 - August 3, 1995
COMPULIFE INVESTOR SERVICES, INC.
May 10, 1994 - September 6, 1994
ADVANTAGE CAPITAL CORPORATION
August 31, 1992 - May 17, 1994
JOHN HANCOCK DISTRIBUTORS 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
