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MG

Matthew W. Gray

CAUSEWAY SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6689477
MG

Professional summary

Matthew William Gray is a registered financial professional currently at CAUSEWAY SECURITIES LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2016. Matthew has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Matthew William 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®
None

Experience

Current

January 6, 2025 - Present

CAUSEWAY SECURITIES LLC

Office #1: 845 3rd Ave, Floor 6, New York, NY 10022
BD
CRD#: 315829
NEW YORK, NY
Past

November 15, 2016 - October 1, 2024

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Toronto, Ontario,

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
Arizona
(1/16/2025)
RR
California
(1/16/2025)
RR
Colorado
(1/16/2025)
RR
Illinois
(1/6/2025)
RR
Indiana
(1/6/2025)
RR
Kentucky
(1/6/2025)
RR
Missouri
(1/6/2025)
RR
New Mexico
(1/16/2025)
RR
Ohio
(1/6/2025)
RR
Oregon
(1/16/2025)
RR
Utah
(1/16/2025)
RR
Washington
(1/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/7/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAUSEWAY SECURITIES LLC
CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
845 3rd Ave, Floor 6, New York, NY 10022
Mailing Address
845 3rd Ave, Floor 6, New York, NY 10022
Phone number
(224) 370-3769
Established
Florida since 06/25/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAUSEWAY SECURITIES LIMITEDMEMBER
BRUDIE, DONALD THOMAS JRCEO2443236
GRAY, BENJAMIN NMNCCO1946982
ROTHENBERG, SHARI PCFO6590875

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

CAUSEWAY SECURITIES LLC

CRD#: 315829New York, NY 10022

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