Anthony A. Grey
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.
Anthony Arthur Grey, who also goes by Anthony A Grey, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1980. Anthony had worked at 3 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1995 - November 21, 2012
GARDNYR MICHAEL CAPITAL, INC.
August 15, 1994 - April 12, 1995
GARDNYR MICHAEL CAPITAL, INC.
June 20, 1986 - May 11, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1980 - July 2, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 8
Date: 12/1/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GARDNYR MICHAEL CAPITAL, INC.
CRD#: 30520 / SEC#: , 8-44963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNT, PFILIP GARDNYR JR | PRES./ SEC./TRES./DIR./CCO/CFO | 1613985 |
Disclosures
| Regulatory Event | 5 |
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.
