Gregory W. Gray
Professional summary
Gregory W Gray JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Gregory had worked at 10 firms, which includes ADVANCED EQUITIES INC., SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., AMERIPRISE ADVISOR SERVICES INC., BANC ONE SECURITIES CORPORATION, QUICK & REILLY INC., MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., FIDELITY BROKERAGE SERVICES LLC, KEYBANC CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2006 - February 28, 2008
ADVANCED EQUITIES, INC.
October 2, 2006 - February 28, 2008
ADVANCED EQUITIES, INC.
May 2, 2006 - October 12, 2006
SUMMIT FINANCIAL GROUP INC
May 1, 2006 - October 12, 2006
SUMMIT BROKERAGE SERVICES, INC.
March 2, 2004 - February 22, 2006
AMERIPRISE ADVISOR SERVICES, INC.
February 27, 2004 - February 22, 2006
AMERIPRISE ADVISOR SERVICES, INC.
December 16, 2003 - February 23, 2004
BANC ONE SECURITIES CORPORATION
December 16, 2003 - February 23, 2004
BANC ONE SECURITIES CORPORATION
November 26, 2002 - December 18, 2003
QUICK & REILLY, INC.
March 27, 2002 - December 18, 2003
QUICK & REILLY, INC.
June 1, 2001 - April 3, 2002
MORGAN STANLEY DW INC.
July 30, 1999 - June 18, 2001
UBS FINANCIAL SERVICES INC.
November 6, 1998 - June 14, 1999
FIDELITY BROKERAGE SERVICES LLC
March 26, 1998 - September 23, 1998
KEYBANC CAPITAL MARKETS 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
ADVANCED EQUITIES, INC.
CRD#: 35545 / SEC#: 801-67983, 8-46742
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| BENDER, BRIAN | ROSFP | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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