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BG

Brian T. Gray

Some features on this profile are disabled
CRD#: 3069145
BG

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 Thomas Gray was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

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.
1) MEDWAY FOUNDATION FOR EDUCATION (MFE); NOT INVESTMENT RELATED; 45 HOLLISTON STREET, MEDWAY, MA 02053; CHARITY-EDUCATION FOUNDATION; PRESIDENT; 2007; 2-3 HOURS PER MONTH DEVOTED OT BUSINESS; 0 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; COORDINATE BOARD MEETINGS, PLANNING, FUNDRAISER ACTIVITIES. 2) RICHARDSON FINANCIAL SERVICES; INVESTMENT RELATED; 165 VILLAGE STREET MEDWAY, MA 02053; FINANCIAL PLANNING/WEALTH MANAGEMENT; SENIOR FINANCIAL ADVISOR; APRIL 2015; 180+ HOURS PER MONTH DEVOTED TO BUSINESS; 180+ HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; FINANCIAL ADVISOR. 3) PATRICIA L GRAY TRUST/RBRUCE GRAY TRUST/ PATRICIA L GRAY & RBRUCE FAMILY TRUSTS; NOT INVESTMENT RELATED; 63 RUSSETT HILL ROAD SHERBORN, MA 01770; ESTATE PLAN RELATED TO TRUSTS FOR FAMILY (PARENTS); SUCCESSOR TRUSTEE/BENEFICIARY; 1989; 0 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; SUCCESSOR TRUSTEE-OVERSIGHT.

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

March 2, 2020 - July 1, 2022

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
MEDWAY, MA
Past

July 16, 2015 - August 28, 2023

RICHARDSON FINANCIAL SERVICES

RIA
CRD#: 130715
MEDWAY, MA
Past

April 3, 2015 - March 11, 2020

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
MEDWAY, MA
Past

May 13, 2010 - March 6, 2015

FEG

RIA
CRD#: 121658
CINCINNATI, OH
Past

June 27, 2007 - April 14, 2010

HIRTLE, CALLAGHAN & CO., LLC

RIA
CRD#: 105403
WEST CONSHOHOCKEN, PA
Past

January 8, 2002 - March 10, 2005

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

September 2, 1998 - December 31, 2001

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA

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: 6/15/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/26/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/1/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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