GW
Gregory A. Wales
GRADIENT SECURITIES
Clemson, SC 29631
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CRD#: 4201577
GW
Professional summary
Gregory Allen Wales, who also goes by Greg Wales, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Clemson, South Carolina.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gregory has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Wales
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.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Allen Wales's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Allen Wales's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 16, 2025 - Present
GRADIENT SECURITIES, LLC
Office #1: 402-1 Pendleton Rd, Clemson, SC 29631RIA
BD
CRD#: 127701
Clemson, SC
Current
December 16, 2025 - Present
GRADIENT SECURITIES, LLC
Office #1: 402-1 Pendleton Rd, Clemson, SC 29631RIA
BD
CRD#: 127701
Clemson, SC
Past
August 13, 2015 - December 31, 2025
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
CLEMSON, SC
Past
August 13, 2015 - December 31, 2025
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
CLEMSON, SC
Past
June 30, 2014 - August 12, 2015
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
SENECA, SC
Past
September 24, 2012 - November 7, 2014
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
SENECA, SC
Past
August 2, 2000 - May 2, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SENECA, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/16/2025)
RR
Florida(12/16/2025)
RR
Georgia(12/16/2025)
IAR
Georgia(12/17/2025)
RR
Illinois(12/16/2025)
RR
Kentucky(12/16/2025)
IAR
Kentucky(1/5/2026)
RR
Maryland(12/16/2025)
RR
Michigan(12/16/2025)
RR
Missouri(12/16/2025)
IAR
North Carolina(12/22/2025)
RR
North Carolina(1/2/2026)
RR
Ohio(12/17/2025)
IAR
Ohio(12/17/2025)
RR
Oklahoma(12/16/2025)
RR
South Carolina(12/16/2025)
IAR
South Carolina(12/16/2025)
RR
Texas(12/16/2025)
IAR
Texas(12/16/2025)
RR
Utah(12/16/2025)
IAR
Utah(12/17/2025)
RR
Virginia(12/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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
GRADIENT SECURITIES, LLC
CRD#: 127701Clemson, SC 29631TRUST BUT VERIFY
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