Alan Abraham Gray
Professional Summary
Alan Abraham Gray was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1969 - 2015. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
ASPEN EQUITY PARTNERS, LLC
Contact Information
Established
Texas since 11/01/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed May 1983Series 1 — Registered Representative Examination
Passed Jul 1969Series 000 — General Securities Principal Examination
Passed Jul 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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