EG
Erin W. Gray
DISTRIBUTION SERVICES
Portland, ME 04101
Some features on this profile are disabled
CRD#: 4854842
EG
Professional summary
Erin Wingfield Gray, who also goes by Erin Gray, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in Portland, Maine.
Erin is registered as a RR (Registered Representative) and started their career in finance in 2014. Erin has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erin 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.
CRS (Client Relationship Summary) - BD
Click below to view Erin Wingfield 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
May 15, 2014 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 25938
Portland, ME
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alaska(1/3/2020)
RR
Arizona(4/28/2017)
RR
California(9/8/2014)
RR
Colorado(9/8/2014)
RR
Florida(8/28/2015)
RR
Hawaii(10/25/2016)
RR
Idaho(8/28/2015)
RR
Illinois(8/28/2015)
RR
Michigan(7/23/2015)
RR
Minnesota(4/4/2017)
RR
Nevada(4/28/2017)
RR
New Mexico(9/8/2014)
RR
Oregon(9/8/2014)
RR
Texas(4/4/2016)
RR
Utah(4/28/2017)
RR
Washington(9/8/2014)
RR
Wisconsin(4/28/2017)
RR
Wyoming(1/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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
DISTRIBUTION SERVICES, LLC
CRD#: 25938Portland, ME 04101TRUST BUT VERIFY
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