Richard C. Gray
Professional summary
Richard Carlton Gray JR, who also goes by Richard Carlton Gray, is a registered financial professional currently at CINCAP INVESTMENT GROUP, LLC located in Cincinnati, Ohio.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 62 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Carlton Gray JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2022 - Present
CINCAP INVESTMENT GROUP, LLC
Office #1: 455 Delta Ave. Suite 207, Cincinnati, OH 45226March 4, 2002 - February 15, 2022
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 7, 2001 - March 4, 2002
MORGAN KEEGAN & COMPANY, LLC
September 19, 2000 - January 19, 2001
WILLIAM R. HOUGH & CO.
September 11, 2000 - September 22, 2000
STERNE, AGEE & LEACH, INC.
October 15, 1993 - July 28, 2000
CARTY, HARDING & HEARN, 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
(2/15/2022)
(7/9/2024)
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Exams
Series 62
Date: 3/27/1999
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
CINCAP INVESTMENT GROUP, LLC
CRD#: 118392 / SEC#: , 8-53652
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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Company Information
CINCAP INVESTMENT GROUP, LLC
CRD#: 118392Cincinnati, OH 45226TRUST BUT VERIFY
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