Gray C. Peckham
OSAIC INSTITUTIONS | Financial Consultant
Milford, CT 06460
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CRD#: 5228428
Professional summary
Gray Clark Peckham, who also goes by Gray Clark Peckham, Gray Peckham, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Milford, Connecticut.
Gray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Gray has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Biography
I partner with clients to create plans that give them more control over their futures, and protect & grow their assets. I'm passionate about understanding their unique needs and concerns and in helping them work towards their goals. Success to me means that clients feel more empowered & confident.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gray Clark Peckham | Gray Peckham
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.
1.) Lowe's. Not investment related. Home improvement store. Started April 2025. 8 hours per week on weekends.
CRS (Client Relationship Summary) - RIA
Click below to view Gray Clark Peckham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gray Clark Peckham'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®
NoneEducation
Yale University
Master of Arts - History - US Foreign Relations
2002
Boston College
Bachelor of Arts (BA) - US History
1997
Experience
Current
May 13, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 51 Roses Mill Road, Milford, CT 06460RIA
BD
CRD#: 35371
Milford, CT
Current
May 13, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 51 Roses Mill Road, Milford, CT 06460RIA
BD
CRD#: 35371
Milford, CT
Past
September 16, 2021 - May 1, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWICH, CT
Past
July 20, 2021 - May 1, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWICH, CT
Past
April 14, 2020 - June 18, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
FAIRFIELD, CT
Past
January 10, 2014 - July 11, 2014
ODEON CAPITAL GROUP LLC
BD
CRD#: 148493
NEW YORK, NY
Past
February 26, 2010 - January 18, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
STAMFORD, CT
Past
February 27, 2008 - February 23, 2010
CRT CAPITAL GROUP LLC
BD
CRD#: 28830
STAMFORD, CT
Past
November 2, 2006 - January 18, 2008
NEWOAK CAPITAL MARKETS LLC
BD
CRD#: 104063
STAMFORD, CT
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Connecticut(5/13/2024)
IAR
Connecticut(5/13/2024)
RR
Florida(5/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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
OSAIC INSTITUTIONS, INC.
Financial ConsultantCRD#: 35371Milford, CT 06460TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
