Hubert Gay
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.
Hubert Gay JR, who also goes by Hubert Gay Jr, Hubert Gay, Jr., was a registered financial professional .
Hubert is a previously registered financial professional and started their career in finance in 2000. Hubert had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
June 13, 2007 - October 19, 2016
BROWN BROTHERS HARRIMAN & CO.
June 13, 2006 - March 16, 2007
BROWN BROTHERS HARRIMAN & CO.
January 24, 2006 - February 24, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
February 27, 2004 - October 1, 2004
TRILLIUM BROKERAGE SERVICES, LLC
October 11, 2001 - April 4, 2003
WORLDCO, L.L.C.
September 4, 2001 - November 30, 2001
RUMSON CAPITAL, LLC
August 21, 2000 - September 27, 2001
WORLDCO, L.L.C.
July 6, 2000 - August 16, 2000
JOSEPH STEVENS & CO., 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
Series 55
Date: 9/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
BROWN BROTHERS HARRIMAN & CO.
CRD#: 104487 / SEC#:
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BODMAN, TAYLOR STOCKWELL | PARTNER | 2589796 |
| DONAHUE, DOUGLAS AIDAN JR. | PARTNER | 2074744 |
| KLOTZ, RADFORD WERNER | PARTNER | 2615201 |
| LIVINGSTON, SUSAN CLARK | PARTNER | 2831394 |
| SCHOENFELD, JEFFREY ALAN | PARTNER | 2490214 |
| WITMER, RICHARD HOWELL JR. | PARTNER | 1900002 |
| BERK, THOMAS ERIC | PARTNER | 4906624 |
| BERRIS, BRIAN ADAMS | PARTNER | 2530603 |
| BORLAND, JOHN JAY | PARTNER | 2171439 |
| COOK, GEOFFREY MACKENZIE | PARTNER | 4599503 |
| CREPIN, JEAN MARC | PARTNER | 6442317 |
| GALINDO, DARIO | PARTNER | 2789910 |
| GEORGE, KATHRYN CAROLYN | PARTNER | 4308333 |
| HAM, RICHARD DAVID | FINANCIAL OPERATIONS PRINCIPAL | 5515226 |
| HARTCH, TIMOTHY EWING | PARTNER | 2941759 |
| HASHIMOTO, KYOSUKE | PARTNER | 4308983 |
| HUTSON, JOSHUA EYARE | CHIEF COMPLIANCE OFFICER | 2912952 |
| IZARD, CHARLES OWEN | PARTNER | 1131624 |
| KELLER, MICHAEL ROBERT | PARTNER | 4053994 |
| LONG, THOMAS MICHAEL | PARTNER | 2596442 |
| LYNCH, HAMPTON SIMPSON JR. | PARTNER | 2794116 |
| MCCONNELL, MICHAEL WALLACE | PARTNER | 1551375 |
| MESKIN, JEFFREY BRYAN | PARTNER | 2855280 |
| NAGAHISA, YUKINORI | PARTNER | 1921275 |
| NIELSEN, JOHN ANDREW | PARTNER | 2578064 |
| PAIRCEIR, SEAN | PARTNER | 5775877 |
| PAQUIN, JEAN-PIERRE | PARTNER | 4622088 |
| REMONDI, CHRISTOPHER CHARLES | PARTNER | 4308313 |
| ROBERTSON, ABRAM HEATON III | PARTNER | 2593686 |
| ROSENSWEIG, WILLIAM E. | PARTNER | 6019312 |
| STONE, KEVIN W | PARTNER | 2395249 |
| SULLIVAN, WILLIAM CARTER III | PARTNER | 2641535 |
| TUCKER, ANDREW JAMES FRANCIS | PARTNER | 2588190 |
| TYREE, WILLIAM BROPHY | PARTNER | 2743965 |
| VELEZ, MAROA DEL CARMEN | PARTNER | 5469051 |
| WHELAN, WILLIAM JOSEPH JR. | PARTNER | 2588916 |
Disclosures
| Regulatory Event | 3 |
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.
