Nicholas E. Gray

SYM FINANCIAL ADVISORS

FORT WAYNE, IN 46804

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CRD#: 2674214

Professional summary

Nicholas Eugene Gray, who also goes by Nick Gray, is a registered financial advisor currently at SYM FINANCIAL ADVISORS located in Fort Wayne, Indiana.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Nicholas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Gray

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.

Business: GW Management Group LLC - Investment-related: No - Business Address: 3435 Kirkwood Dr, Fort Wayne, IN 46805 - Nature of Business: Real Estate Management - Position: Partner - Start Date: 10/1/2002 - Hours/Month: 0 hours/month - Hours/Month During Securities Trading Hours: 0 hours/month - Duties: Maintains rental property. Business: Mary Cross Tippmann Foundation - Investment-related: Yes - Business Address: 9009 Coldwater Road, Fort Wayne, IN 46825 - Nature of Business: Charitable - Position: Member and Treasurer, Board of Directors; Member, Grants and Finance Committee Start Date: 1/1/2021(Grants and Finance Committee as of 1/1/24) - Hours/Month: 5 - Hours/Month During Securities Trading Hours: 2 hours/month - Duties: Attend Board and Committee Meetings, treasurer responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Eugene Gray's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 8, 2013 - Present

SYM FINANCIAL ADVISORS

Office #1: 7030 Pointe Inverness Way Suite 100, Fort Wayne, IN 46804

RIA

CRD#: 107517

FORT WAYNE, IN

Past

September 20, 2012 - October 16, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

FORT WAYNE, IN

Past

December 1, 1998 - September 25, 2012

OSAIC FA, INC.

RIA

CRD#: 3978

FORT WAYNE, IN

Past

December 1, 1995 - May 31, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 1, 1995 - September 25, 2012

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(2/8/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/30/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 Approved)

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Contact information

Main Address

801 Park Ave, Winona Lake, IN 46590

Mailing Address

Phone number

(800) 888-7968

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYM ADV PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts	5,993
AUM (Assets Under Management)	$ 4,879,622,399

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/20/2024	Cover Page	Report
06/29/2023	Cover Page	Report
12/19/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Nicholas E. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Eugene Gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

SYM FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2019

Series 63

Date: 1/15/1996

SIE

Date: 10/16/2015

Series 6

Date: 11/30/1995

Current Firm

SYM FINANCIAL ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SYM FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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