James L. 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.
James Lee Gray was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 5 firms and has passed the Series 65, Series 63, 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
September 13, 2013 - May 4, 2015
OBERLIN WEALTH PARTNERS, LLC
October 21, 2003 - April 22, 2005
DEUTSCHE BANK SECURITIES INC.
January 22, 2001 - October 21, 2003
DEAM INVESTOR SERVICES, INC.
January 1, 1996 - January 13, 2000
SCHRODER FUND ADVISORS LLC
February 28, 1995 - July 10, 1995
PROFUNDS DISTRIBUTORS, 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
Current Firm
OBERLIN WEALTH PARTNERS, LLC
CRD#: 164912 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 28,264,399 |
Red Flags
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