SG
Sarah L. Gray
A.G.P. / ALLIANCE GLOBAL PARTNERS
Clemson, SC 29631
Some features on this profile are disabled
CRD#: 4345891
SG
Professional summary
Sarah Louise Gray, who also goes by Sarah Gray Creager, Sarah Creager, Sarah Louise Gray, Sarah Louise Keener, Sarah Louise Lemen, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Clemson, South Carolina.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sarah has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Gray Creager | Sarah Creager | Sarah Louise Gray | Sarah Louise Keener | Sarah Louise Lemen
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.
(1) Gray Wealth Management - at branch office - 160 months - owner. Offers Insurance products, 80 hours a month. (2) Chamber, Clemson Area Chamber. Clemson, SC, 2 hours per month. (3) Social Group - Clemson Women's Group Member, attend meetings. 5 hours per month. Does not handle monies.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Louise Gray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Louise Gray'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
January 3, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 602 College Avenue Suite 3, Clemson, SC 29631RIA
BD
CRD#: 8361
Clemson, SC
Current
January 3, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 602 College Avenue Suite 3, Clemson, SC 29631RIA
BD
CRD#: 8361
Clemson, SC
Past
January 18, 2017 - January 5, 2023
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
SENECA, SC
Past
January 4, 2017 - January 5, 2023
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
SENECA, SC
Past
January 13, 2015 - December 27, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Seneca, SC
Past
January 12, 2015 - December 27, 2016
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SENECA, SC
Past
September 9, 2013 - October 17, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GREER, SC
Past
June 7, 2013 - October 17, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GREER, SC
Past
November 3, 2011 - June 28, 2013
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
RALEIGH, NC
Past
November 1, 2011 - June 28, 2013
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
GREER, SC
Past
May 17, 2005 - November 1, 2011
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
SENECA, SC
Past
March 8, 2001 - November 1, 2011
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
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".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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
Florida(1/3/2023)
RR
New York(1/3/2023)
RR
North Carolina(1/3/2023)
RR
South Carolina(1/3/2023)
IAR
South Carolina(1/3/2023)
IAR
Texas(9/6/2024)
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
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 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.
