Austen Townsend Gray 3rd
Professional Summary
Austen Townsend Gray 3RD, who also goes by Baron Gray, was a registered financial advisor. Austen was a previously registered financial professional and started their career in finance 2002 - 2014. Austen had worked at 3 firms and has passed the Series 66, Series 87, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Baron Gray
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
KGS-ALPHA CAPITAL MARKETS LLC | KGS-ALPHA CAPITAL MARKETS, L.P.
Contact Information
Established
Delaware since 07/29/2009Firm Type
PartnershipFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KGS HOLDINGS, L.P. | PARENT | — |
| GOLDMAN, DANIEL ALAN | PRESIDENT | 1406528 |
| KAHRAMAN, LEVENT | CEO, HOME OFFICE SUPERVISOR | 2802822 |
| KGS-ALPHA CAPITAL MARKETS GP, LLC | PARENT - GENERAL PARTNER | — |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER | 2795963 |
| KRIEGER, FREDERIC MICHAEL | GENERAL COUNSEL, EXECUTIVE REP., AML SUPERVISOR | 2194757 |
| SEERY, ROBERT PATRICK | CFO, FINOP | 862273 |
| SMOLYANSKIY, IGOR | CHIEF ADMINISTRATIVE OFFICER | 5017961 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2003Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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