David A. Cray
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.
David Alan Cray, who also goes by David A Cray, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 15 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 52, Series 8, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2015 - January 18, 2018
QUESTAR CAPITAL CORPORATION
June 5, 2010 - November 11, 2013
QUESTAR CAPITAL CORPORATION
September 10, 2007 - June 16, 2008
KCD FINANCIAL, INC.
December 8, 2004 - September 14, 2005
GUNNALLEN FINANCIAL, INC
January 28, 2004 - July 28, 2004
TRUIST INVESTMENT SERVICES, INC.
September 23, 2003 - July 28, 2004
TRUIST INVESTMENT SERVICES, INC.
February 25, 2003 - September 23, 2003
MML INVESTORS SERVICES, LLC
November 2, 2001 - January 27, 2003
ALLSTATE FINANCIAL SERVICES, LLC
January 2, 1996 - September 21, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
July 30, 1994 - January 4, 1996
MCC SECURITIES, INC.
June 7, 1993 - June 24, 1994
NATIONSSECURITIES
August 10, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 10, 1991 - July 20, 1992
MERIDIAN, DUNHILL & CO., INC.
January 7, 1988 - August 8, 1989
THOMSON MCKINNON SECURITIES INC.
November 25, 1985 - September 4, 1991
CITIGROUP GLOBAL MARKETS INC.
January 17, 1985 - November 19, 1985
AMUNI FINANCIAL, INC.
June 5, 1978 - December 21, 1984
J. MILTON NEWTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 9/2/1988
Foreign Currency Options ExaminationSeries 5
Date: 8/22/1988
Interest Rate Options ExaminationSeries 8
Date: 10/24/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
