Rodney P. 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.
Rodney Paul Gray was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1973. Rodney had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2014 - June 7, 2016
TKG FINANCIAL, LLC
July 1, 2011 - September 4, 2012
BENJAMIN F. EDWARDS & COMPANY, INC.
July 1, 2011 - September 4, 2012
BENJAMIN F. EDWARDS & COMPANY, INC.
April 20, 2004 - March 10, 2011
MORGAN KEEGAN & COMPANY, LLC
April 20, 2004 - March 10, 2011
MORGAN KEEGAN & COMPANY, LLC
March 22, 1999 - April 20, 2004
RBC CAPITAL MARKETS, LLC
March 22, 1999 - April 20, 2004
RBC CAPITAL MARKETS, LLC
June 22, 1998 - March 19, 1999
MORGAN KEEGAN & COMPANY, LLC
July 31, 1993 - June 15, 1998
CITIGROUP GLOBAL MARKETS INC.
January 12, 1981 - July 31, 1993
LEHMAN BROTHERS INC.
May 19, 1978 - February 9, 1981
KIDDER, PEABODY & CO. INCORPORATED
November 1, 1973 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 15
Date: 11/29/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 10/23/1973
General Securities Principal ExaminationSeries 1
Date: 10/23/1973
Registered Representative ExaminationSeries 8
Date: 10/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TKG FINANCIAL, LLC
CRD#: 133104 / SEC#: , 8-66685
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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