Gina R. Gray

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CRD#: 5567838

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.

Gina Renee Gray, who also goes by Gina Renee Fikes, was a registered financial professional .

Gina is a previously registered financial professional and started their career in finance in 2008. Gina had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gina Renee Fikes

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)

CRD#: 133599

NORMAN, OK

Past

June 1, 2009 - July 15, 2010

MORGAN STANLEY

RIA

CRD#: 149777

OKLAHOMA CITY, OK

Past

June 1, 2009 - July 15, 2010

MORGAN STANLEY

CRD#: 149777

OKLAHOMA CITY, OK

Past

October 9, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OKLAHOMA CITY, OK

Past

September 8, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

OKLAHOMA CITY, OK

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".

NATIVE AMERICAN FUND ADVISORS LLC

NAFA INVESTMENT MANAGEMENT | PINNACLE HOLDINGS | NATIVE AMERICAN FUND ADVISORS LLC | NATIVE AMERICAN FUND ADVISORS

CRD#: 108149 / SEC#: 801-57618

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

Oklahoma

Registered Investment Advisory firm - (9/13/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2008

General Securities Representative Examination

Current Firm

NATIVE AMERICAN FUND ADVISORS LLC

NAFA INVESTMENT MANAGEMENT | PINNACLE HOLDINGS | NATIVE AMERICAN FUND ADVISORS LLC | NATIVE AMERICAN FUND ADVISORS

CRD#: 108149 / SEC#: 801-57618

RIA

Registered Investment Advisory firm - (6/28/2000 Approved)

Oklahoma

Registered Investment Advisory firm - (9/13/2005 Terminated)

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Contact information

Main Address

1616 East 15th Street, Tulsa, OK 74120

Mailing Address

Phone number

(918) 582-9823

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NATIVE AMERICAN FUND ADVISORS 4TH QUARTER 2024 BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 36,725,996

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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Gina R. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

NAFA CAPITAL MARKETS, LLC

PINNACLE INVESTMENT ADVISORS

NATIVE AMERICAN FUND ADVISORS LLC

NAFA CAPITAL MARKETS, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

NATIVE AMERICAN FUND ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2008

SIE

Date: 10/10/2017

Series 7

Date: 9/4/2008

Current Firm

NATIVE AMERICAN FUND ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATIVE AMERICAN FUND ADVISORS LLC

TRUST BUT VERIFY

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