Brian V. 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.
Brian Victor Gray was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2018 - February 3, 2021
NYLIFE SECURITIES LLC
January 8, 2018 - November 13, 2018
USAA INVESTMENT SERVICES COMPANY
December 15, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
January 2, 2014 - November 8, 2018
USAA FINANCIAL ADVISORS, INC.
December 12, 2008 - December 31, 2010
FARMERS FINANCIAL SOLUTIONS, LLC
April 17, 2007 - July 7, 2008
T. ROWE PRICE ADVISORY SERVICES, INC.
March 23, 2007 - July 7, 2008
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 6, 2005 - February 20, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - February 20, 2007
CHASE INVESTMENT SERVICES CORP.
December 16, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 16, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
August 22, 2001 - December 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 24, 2001 - December 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 25, 2000 - July 16, 2001
WS GRIFFITH SECURITIES, INC.
December 16, 1996 - September 19, 2000
MUTUAL OF OMAHA INVESTOR SERVICES, 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
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
