Cory M. Bray
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.
Cory Martin Bray was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2006. Cory had worked at 4 firms and has passed the Series 66, Series 65, SIE, Series 79, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2012 - December 9, 2014
KIPLING JONES & CO., LTD.
April 24, 2012 - July 8, 2013
RIVERROCK SECURITIES, LLC
November 4, 2010 - February 9, 2011
RIVERROCK SECURITIES, LLC
September 11, 2008 - February 9, 2011
RIVERROCK ASSET MANAGEMENT LLC
June 30, 2006 - January 29, 2008
ATELI CAPITAL
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
Current Firm
KIPLING JONES & CO., LTD.
CRD#: 144730 / SEC#: , 8-67672
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RJJ HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| LINE STREET HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| JONESCAP, LLC | GENERAL PARTNER | |
| ROACH, ROBERT GARFIELD JR | DESIGNATED PRINCIPAL & CCO | 2731222 |
Disclosures
| Regulatory Event | 9 |
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.
