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GG

Gary D. Gray

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CRD#: 4171086
GG

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.

Gary Donald Gray was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 2000. Gary had worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 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.
The advisor shows no other business activity.

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

January 4, 2017 - June 25, 2018

DAKOTA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 132700
MIAMI, FL
Past

September 30, 2013 - December 31, 2016

EDI INVESTMENT ADVISOR CORPORATION

RIA
CRD#: 124129
IRVING, TX
Past

June 10, 2013 - December 31, 2016

EDI FINANCIAL, INC.

BD
CRD#: 15699
MIAMI LAKES, FL
Past

December 12, 2011 - June 4, 2013

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
MIAMI, FL
Past

January 28, 2005 - December 15, 2011

NFSG CORPORATION

RIA
CRD#: 130814
MIAMI, FL
Past

June 8, 2004 - December 15, 2011

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
MIAMI, FL
Past

June 3, 2003 - July 23, 2004

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
MIAMI, FL
Past

May 29, 2003 - July 2, 2004

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

August 15, 2001 - June 3, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
MIAMI, FL
Past

August 13, 2001 - June 3, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

April 28, 2000 - July 2, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 66
Date: 5/12/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/26/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/2005
General Securities Principal Examination

Current Firm

DS
DAKOTA SECURITIES INTERNATIONAL, INC.
DAKOTA SECURITIES INTERNATIONAL, INC.

CRD#: 132700 / SEC#: , 8-66626

BD
Terminated by SEC on 10/12/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/09/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ZIPPER, MARGARET APRESIDENT3268116
DROPKIN, CLIFFORDPASSIVE INVESTOR
CUCCIA, GARY JOHNFINOP, CCO, CFO1386493

Disclosures

Regulatory Event5
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

DAKOTA SECURITIES INTERNATIONAL, INC.

CRD#: 132700

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