Joseph S. 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.
Joseph Stephen Gray, who also goes by Joseph S Gray, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2016 - September 5, 2017
PORTSMOUTH FINANCIAL SERVICES
June 23, 2014 - July 6, 2016
PROTECTED INVESTORS OF AMERICA
March 24, 2003 - June 23, 2014
CHARLES SCHWAB & CO., INC.
February 5, 2003 - March 5, 2003
CITICORP INVESTMENT SERVICES
May 1, 2002 - February 5, 2003
CAL FED INVESTMENTS
May 8, 2000 - November 12, 2001
ROBERTSON STEPHENS, INC.
May 29, 1998 - February 15, 2000
WELLS FARGO SECURITIES 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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
