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SG

Steven Gray

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CRD#: 2665911
SG

Professional summary

Steven Gray was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Steven had worked at 11 firms, which includes INDEPENDENT SECURITIES INVESTORS CORPORATION, CLARK STREET CAPITAL INC., PARKER FINANCIAL CORP., INDIANAPOLIS SECURITIES INC., LAIDLAW GLOBAL SECURITIES INC., DPEC CAPITAL INC., KIRLIN SECURITIES INC., MONTROSE CAPITAL MANAGEMENT LTD., AUERBACH POLLAK & RICHARDSON INC., PRIME CHARTER LTD., LCP CAPITAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 13, 2004 - May 26, 2005

INDEPENDENT SECURITIES INVESTORS CORPORATION

BD
CRD#: 43598
CHIPLEY, FL
Past

August 28, 2003 - May 7, 2004

CLARK STREET CAPITAL, INC.

BD
CRD#: 38304
LEVITTOWN, NY
Past

January 28, 2003 - August 28, 2003

PARKER FINANCIAL CORP.

BD
CRD#: 42140
VALLEY COTTAGE, NY
Past

October 16, 2001 - November 11, 2002

INDIANAPOLIS SECURITIES, INC.

BD
CRD#: 10399
VALLEY STREAM, NY
Past

June 13, 2001 - August 31, 2001

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

February 16, 2001 - August 3, 2001

DPEC CAPITAL, INC.

BD
CRD#: 103737
NEW YORK, NY
Past

June 28, 2000 - March 2, 2001

KIRLIN SECURITIES INC.

BD
CRD#: 21210
SYOSSET, NY
Past

September 21, 1999 - June 21, 2000

MONTROSE CAPITAL MANAGEMENT LTD.

BD
CRD#: 40799
NEW YORK, NY
Past

November 24, 1998 - November 3, 1999

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

March 8, 1996 - November 2, 1998

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

January 1, 1996 - March 13, 1996

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2002
General Securities Principal Examination

Current Firm

IS
INDEPENDENT SECURITIES INVESTORS CORPORATION
INDEPENDENT SECURITIES INVESTORS CORPORATION | RANGER SECURITIES, INC. | INTREPID SECURITIES, INC.

CRD#: 43598 / SEC#: , 8-50352

BD
Terminated by SEC on 04/16/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 03/27/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JORDAN, DENNISCEO, PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, 100% OWNERSHIP1420210
THOMAS, CRAIG ALANFINANCIAL OPERATIONS PRINCIPAL, 0% OWNERSHIP2181088

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

INDEPENDENT SECURITIES INVESTORS CORPORATION

CRD#: 43598

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