Neil Gray
Professional summary
Neil Gray is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .
Neil is registered as a RR (Registered Representative) and started their career in finance in 2004. Neil has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55, Series 38 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Gray's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2004 - Present
HAYWOOD SECURITIES (USA) INC.
Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2019)
(9/19/2011)
(7/14/2015)
(9/19/2011)
(1/3/2019)
(1/3/2019)
(1/3/2019)
(1/3/2019)
(1/3/2019)
(7/23/2020)
(1/8/2019)
(1/31/2019)
(1/3/2019)
(1/3/2019)
(3/1/2018)
(10/10/2017)
(1/3/2019)
(1/3/2019)
(1/3/2019)
(6/2/2020)
(1/3/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/25/2005
Limited Representative-Equity Trader ExamSeries 38
Date: 5/13/2004
Canada Module of the General Securities Registered Representative (Without Options Questions)FINRA
Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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