AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AB

Adam A. Bain

GRAY OAK CAPITAL
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4246804
AB

Professional summary

Adam Andrew Bain, who also goes by Adam A. Bain, is a registered financial professional currently at GRAY OAK CAPITAL, LLC located in Greenwich, Connecticut.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam A. Bain

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) - BD

Click below to view Adam Andrew Bain's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 29, 2025 - Present

GRAY OAK CAPITAL, LLC

Office #1: 55 Old Field Point Road, Greenwich, CT 06830
BD
CRD#: 290056
Greenwich, CT
Past

January 6, 2020 - August 28, 2025

DELPHOS MMJ L.P.

BD
CRD#: 137389
NEW YORK, NY
Past

October 8, 2013 - January 31, 2020

ARTIST CAPITAL LLC

BD
CRD#: 153937
NEW YORK, NY
Past

March 9, 2004 - January 27, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 22, 2000 - March 11, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(8/29/2025)
RR
Connecticut
(8/29/2025)
RR
Florida
(8/29/2025)
RR
Illinois
(8/29/2025)
RR
Massachusetts
(8/29/2025)
RR
New York
(8/29/2025)
RR
North Carolina
(8/29/2025)
RR
Ohio
(9/3/2025)
RR
Pennsylvania
(8/29/2025)
RR
Texas
(8/29/2025)
RR
Washington
(8/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/12/2013
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

GO
GRAY OAK CAPITAL, LLC
GRAY OAK CAPITAL, LLC

CRD#: 290056 / SEC#: , 8-70014

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55 Old Field Point Road, Greenwich, CT 06830
Mailing Address
55 Old Field Point Road, Greenwich, CT 06830
Phone number
(203) 987-0015
Established
Delaware since 02/27/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WILKINS, MICHAEL STEWARTFOUNDING MEMBER1692310
HALVORSEN, MARK ANDREWCEO, AMLCO, FINOP4750852
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519

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

GRAY OAK CAPITAL, LLC

CRD#: 290056Greenwich, CT 06830

TRUST BUT VERIFY

Monitor Adam Bain

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics