John A. Gray
Professional summary
John A Gray JR., who also goes by John Anthony Gray Jr., John Anthony Gray Jr, John Anthony Gray, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John A Gray JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917January 17, 2018 - January 25, 2022
SANTANDER SECURITIES LLC
January 5, 2018 - January 25, 2022
SANTANDER SECURITIES LLC
March 2, 2017 - December 12, 2017
STRATEGIC ADVISERS LLC
May 8, 2014 - December 8, 2017
FIDELITY BROKERAGE SERVICES LLC
June 5, 2012 - January 29, 2014
NATIONAL FINANCIAL SERVICES LLC
August 28, 2007 - March 28, 2012
FIDELITY BROKERAGE SERVICES LLC
March 20, 2006 - July 26, 2007
NATIONAL FINANCIAL SERVICES LLC
November 17, 1999 - April 12, 2012
STRATEGIC ADVISERS LLC
August 26, 1998 - March 20, 2006
FIDELITY BROKERAGE SERVICES LLC
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
FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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