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JG

James J. Gray

Some features on this profile are disabled
CRD#: 4519896
JG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James John Gray Jr., who also goes by James John Gray Jr., Jim Gray, James John Gray, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James John Gray Jr. | Jim Gray | James John Gray

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 30, 2018 - August 13, 2019

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

May 27, 2015 - May 22, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

November 10, 2014 - May 22, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 2, 2013 - March 13, 2014

GOLDMAN SACHS CUSTODY SOLUTIONS

BD
CRD#: 48015
MCLEAN, VA
Past

November 28, 2005 - November 19, 2013

E*TRADE SECURITIES LLC

BD
CRD#: 29106
ALPHARETTA, GA
Past

May 12, 2004 - June 22, 2004

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

June 28, 2002 - April 2, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PARSIEPANNY, NJ
Past

April 29, 2002 - April 2, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 29, 2002 - April 2, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/20/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/18/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/27/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/29/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/4/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/1/2006
General Securities Principal Examination

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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

ALLY INVEST SECURITIES LLC

CRD#: 136131

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