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CG

Colby R. Gray

DWS DISTRIBUTORS
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 6725780
CG

Professional summary

Colby Ross Gray, who also goes by Colby R Gray, Colby Gray, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida.

Colby is registered as a RR (Registered Representative) and started their career in finance in 2017. Colby has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Colby R Gray | Colby Gray

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 Colby Ross 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

May 27, 2022 - Present

DWS DISTRIBUTORS, INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256
BD
CRD#: 37306
Jacksonville, FL
Past

January 15, 2019 - June 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

November 7, 2017 - June 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL

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
Florida
(5/27/2022)
RR
Illinois
(5/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/17/2018
Uniform Combined 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: 11/7/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

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

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

Red Flags

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Company Information

DWS DISTRIBUTORS, INC.

CRD#: 37306Jacksonville, FL 32256

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