Christopher 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.
Christopher Alan Gray, who also goes by Chris Gray, Christopher A Gray, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 53, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2020 - April 4, 2022
PHYSICIANS WEALTH MANAGEMENT, INC.
May 7, 2014 - December 31, 2019
PHYSICIANS WEALTH MANAGEMENT, INC.
July 18, 2008 - May 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2008 - May 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 24, 2001 - December 31, 2003
RCD FINANCIAL, INC.
May 1, 2000 - November 22, 2000
SECURITIES AMERICA, INC.
March 3, 1999 - March 30, 2000
SECURITIES SERVICE NETWORK, LLC
January 5, 1998 - November 12, 1998
CINCINNATI ANALYSTS, INC.
May 1, 1996 - January 2, 1998
A. G. EDWARDS & SONS, 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 28
Date: 5/25/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PHYSICIANS WEALTH MANAGEMENT, INC.
CRD#: 170967 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 5,825,000 |
Red Flags
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