Alan A. 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.
Alan Abraham Gray was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 11 firms and has passed the Series 63, SIE, Series 41, Series 7, Series 52, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2015 - October 1, 2015
ASPEN EQUITY PARTNERS, LLC
January 26, 1999 - December 31, 2014
EDI FINANCIAL, INC.
April 16, 1990 - February 16, 1999
HOWE, SOLOMON & HALL, INC.
December 5, 1989 - December 13, 1989
HOWE, SOLOMON & HALL, INC.
March 8, 1988 - April 12, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1983 - February 8, 1986
FIRSTMARK SECURITIES, INC.
April 22, 1983 - April 3, 1987
FIRSTMARK INVESTOR SERVICES, INC.
August 16, 1980 - May 6, 1983
FAHNESTOCK INTERNATIONAL INC.
August 31, 1978 - May 14, 1984
GLICKENHAUS & CO. - NEW JERSEY
September 11, 1973 - November 29, 1973
GOTTHAM SECURITIES CORPORATION
May 17, 1971 - May 30, 1973
WEIS SECURITIES, INC.
July 29, 1969 - May 5, 1971
WALSTON AND COMPANY INC
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
Series 41
Date: 5/9/1983
NYSE Allied Member ExaminationSeries 1
Date: 7/25/1969
Registered Representative ExaminationSeries 000
Date: 7/23/1969
General Securities Principal ExaminationCurrent Firm
ASPEN EQUITY PARTNERS, LLC
CRD#: 104035 / SEC#: , 8-52491
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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