AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
HG

Hubert Gay Jr

CRD# 4200730·Registered 2000 - 2016
Previously Registered: Being a previously registered professional could mean that Hubert 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.

Professional Summary

Hubert Gay JR, who also goes by Hubert Gay Jr, Hubert Gay, Jr., was a registered financial advisor. Hubert was a previously registered financial professional and started their career in finance 2000 - 2016. Hubert had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hubert Gay Jr, Hubert Gay, Jr.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

26 years in the financial services industry

Current & Past Employments

BROWN BROTHERS HARRIMAN & CO.·CRD# 104487
BD
Jersey City, NJ
June 13, 2007 - October 19, 2016
BROWN BROTHERS HARRIMAN & CO.·CRD# 104487
BD
New York, NY
June 13, 2006 - March 16, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC·CRD# 104162
BD
New York, NY
January 24, 2006 - February 24, 2006
TRILLIUM BROKERAGE SERVICES, LLC·CRD# 120064
BD
New York, NY
February 27, 2004 - October 1, 2004
WORLDCO, L.L.C.·CRD# 24673
BD
New York, NY
October 11, 2001 - April 4, 2003
RUMSON CAPITAL, LLC·CRD# 33848
BD
Montebello, NY
September 4, 2001 - November 30, 2001
WORLDCO, L.L.C.·CRD# 24673
BD
New York, NY
August 21, 2000 - September 27, 2001
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
July 6, 2000 - August 16, 2000

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

BB
BROWN BROTHERS HARRIMAN & CO.

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487
BD
Terminated by FINRA on 06/30/2017

Contact Information

Established

Pennsylvania since 10/10/1818

Firm Type

Partnership

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BODMAN, TAYLOR STOCKWELLPARTNER2589796
DONAHUE, DOUGLAS AIDAN JR.PARTNER2074744
KLOTZ, RADFORD WERNERPARTNER2615201
LIVINGSTON, SUSAN CLARKPARTNER2831394
SCHOENFELD, JEFFREY ALANPARTNER2490214
WITMER, RICHARD HOWELL JR.PARTNER1900002
BERK, THOMAS ERICPARTNER4906624
BERRIS, BRIAN ADAMSPARTNER2530603
BORLAND, JOHN JAYPARTNER2171439
COOK, GEOFFREY MACKENZIEPARTNER4599503
CREPIN, JEAN MARCPARTNER6442317
GALINDO, DARIOPARTNER2789910
GEORGE, KATHRYN CAROLYNPARTNER4308333
HAM, RICHARD DAVIDFINANCIAL OPERATIONS PRINCIPAL5515226
HARTCH, TIMOTHY EWINGPARTNER2941759
HASHIMOTO, KYOSUKEPARTNER4308983
HUTSON, JOSHUA EYARECHIEF COMPLIANCE OFFICER2912952
IZARD, CHARLES OWENPARTNER1131624
KELLER, MICHAEL ROBERTPARTNER4053994
LONG, THOMAS MICHAELPARTNER2596442
LYNCH, HAMPTON SIMPSON JR.PARTNER2794116
MCCONNELL, MICHAEL WALLACEPARTNER1551375
MESKIN, JEFFREY BRYANPARTNER2855280
NAGAHISA, YUKINORIPARTNER1921275
NIELSEN, JOHN ANDREWPARTNER2578064
PAIRCEIR, SEANPARTNER5775877
PAQUIN, JEAN-PIERREPARTNER4622088
REMONDI, CHRISTOPHER CHARLESPARTNER4308313
ROBERTSON, ABRAM HEATON IIIPARTNER2593686
ROSENSWEIG, WILLIAM E.PARTNER6019312
STONE, KEVIN WPARTNER2395249
SULLIVAN, WILLIAM CARTER IIIPARTNER2641535
TUCKER, ANDREW JAMES FRANCISPARTNER2588190
TYREE, WILLIAM BROPHYPARTNER2743965
VELEZ, MAROA DEL CARMENPARTNER5469051
WHELAN, WILLIAM JOSEPH JR.PARTNER2588916

Disclosures

Regulatory Event

3

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2000

Series 7 — General Securities Representative Examination

Passed Jul 2000About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
HG
Follow Hubert
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required