Steven M. Gray

FELTL ADVISORS

Edwardsville, IL 62025

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CRD#: 4556759

Professional summary

Steven Mack Gray is a registered financial advisor currently at FELTL ADVISORS located in Edwardsville, Illinois and FELTL & COMPANY located in Edwardsville, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Steven Mack Gray'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

May 19, 2015 - Present

FELTL ADVISORS

Office #1: 201 East Vandalia, Edwardsville, IL 62025

RIA

CRD#: 165244

Edwardsville, IL

Current

April 1, 2015 - Present

FELTL & COMPANY

Office #1: 201 East Vandalia, Edwardsville, IL 62025

CRD#: 6905

Edwardsville, IL

Past

March 30, 2010 - April 15, 2015

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

BETHALTO, IL

Past

March 30, 2010 - April 15, 2015

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

BETHALTO, IL

Past

August 6, 2007 - March 24, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

ALTON, IL

Past

August 6, 2007 - March 24, 2010

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

ALTON, IL

Past

February 20, 2007 - July 31, 2007

EDWARD JONES

RIA

CRD#: 250

CARLINVILLE, IL

Past

August 27, 2002 - July 31, 2007

EDWARD JONES

CRD#: 250

CARLINVILLE, IL

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".

FELTL ADVISORS

FELTL ADVISORS | FELTL ADVISORS, LLC

CRD#: 165244 / SEC#: 801-77347

RIA

Registered Investment Advisory firm - (11/1/2012 Approved)

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.

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

Alabama
(1/3/2017)

California
(8/24/2022)

IAR

California
(8/24/2022)

Florida
(4/1/2015)

Georgia
(10/26/2015)

Illinois
(4/1/2015)

IAR

Illinois
(5/19/2015)

Missouri
(4/1/2015)

New York
(9/9/2024)

North Carolina
(2/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2002

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

FELTL ADVISORS

FELTL ADVISORS | FELTL ADVISORS, LLC

CRD#: 165244 / SEC#: 801-77347

RIA

Registered Investment Advisory firm - (11/1/2012 Approved)

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Contact information

Main Address

One Carlson Parkway North Suite 225, Plymouth, MN 55447

Mailing Address

Phone number

(612) 492-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FELTL ADVISORS FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 132,417,421

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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mack Gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

FELTL & COMPANY

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

FELTL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2007

Series 63

Date: 8/29/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2002

FINRA

Nasdaq Stock Market

Current Firm

FELTL ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FELTL ADVISORS

TRUST BUT VERIFY

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