Dereck N. Grey

TOBIN & COMPANY SECURITIES LLC

CHARLOTTE, NC 28280

Some features on this profile are disabled

CRD#: 6692612

Professional summary

Dereck N Grey, CFP®, who also goes by Dereck Nathaniel Grey, Dereck Grey, is a registered financial professional currently at TOBIN & COMPANY SECURITIES LLC located in Charlotte, North Carolina.

Dereck is registered as a RR (Registered Representative) and started their career in finance in 2016. Dereck has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dereck Nathaniel Grey | Dereck Grey

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 Dereck N Grey's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

February 20, 2024 - Present

TOBIN & COMPANY SECURITIES LLC

Office #1: 101 South Tryon Street Suite 2700, Charlotte, NC 28280

CRD#: 137918

CHARLOTTE, NC

Past

May 14, 2018 - February 20, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

May 14, 2018 - February 20, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

January 11, 2017 - April 2, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHOENIX, AZ

Past

December 2, 2016 - April 2, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHOENIX, AZ

Past

September 14, 2016 - November 18, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

State Registrations and Notice Filings

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

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

Alaska
(11/5/2024)

Arizona
(2/20/2024)

California
(2/23/2024)

Colorado
(4/30/2025)

Connecticut
(8/14/2024)

District of Columbia
(10/9/2025)

Florida
(12/5/2024)

Hawaii
(2/23/2024)

Illinois
(4/17/2025)

Louisiana
(9/1/2024)

Massachusetts
(12/24/2024)

Missouri
(6/26/2024)

Nevada
(10/31/2025)

New Hampshire
(3/6/2025)

New Jersey
(9/5/2025)

New York
(6/25/2025)

North Carolina
(2/20/2024)

Oregon
(4/29/2025)

Pennsylvania
(4/25/2025)

Utah
(7/16/2024)

Virginia
(5/13/2025)

Washington
(9/3/2025)

Wisconsin
(2/6/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/10/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TOBIN & COMPANY SECURITIES LLC

TOBIN & COMPANY SECURITIES LLC | TOBIN SOLITARIO SECURITIES LLC | TOBIN ADVISORS LLC | TOBIN ADVISORS II LLC

CRD#: 137918 / SEC#: , 8-67134

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 South Tryon Street Suite 2700, Charlotte, NC 28280

Mailing Address

P.o. Box 30486, Charlotte, NC 28230

Phone number

(704) 334-2772

Established

North Carolina since 05/12/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOBIN & COMPANY INVESTMENT BANKING GROUP LLC	PARENT COMPANY
TOBIN, JUSTINE EIDT	CHIEF COMPLIANCE OFFICER	1641345

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dereck N. Grey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dereck N Grey's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOBIN & COMPANY SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2016

FINRA

Current Firm

TOBIN & COMPANY SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TOBIN & COMPANY SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors