David Stuart Grayson
Professional Summary
David Stuart Grayson was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1977 - 2009. David had worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 53, Series 12, Series 40 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
AXES, LLC | AXESTRADE
Contact Information
Established
Delaware since 04/03/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXES HOLDINGS, LLC | SHAREHOLDER | — |
| AUERBACH GRAYSON & COMPANY INCORPORATED | SHAREHOLDER | 30761 |
| PERRIGRINE EQUITY LLC | SHAREHOLDER | — |
| PIK, ROBERT ROGER | EXECUTIVE V. PRESIDENT & CHIEF MARKETING OFFICER | 1535413 |
| ALLEGRA LEITNER TRUST | SHAREHOLDER | — |
| AUERBACH, JONATHAN LEWIS | DIRECTOR-SHAREHOLDER | 8705 |
| EVAN LEITNER TRUST | SHAREHOLDER | — |
| FRANK, STEPHEN HAMILTON | SHAREHOLDER | — |
| GAFFNEY, PETER FITZGERALD | PRESIDENT, CHIEF COMPLIANCE OFFICER | 1175665 |
| GAVIRIA, SHARON ALEXANDRA | FINOP | 4348648 |
| GRAYSON, DAVID STUART | DIRECTOR, CEO - SHAREHOLDER | 838165 |
| KETTERER, JOHN GEORGE III | SHAREHOLDER | — |
| OLIVIA LEITNER TRUST | SHAREHOLDER | — |
| PESSIN, NORMAN HERBERT | SHAREHOLDER | — |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 12 — NYSE Branch Manager Examination
Passed Jun 1979Series 40 — Registered Principal Examination
Passed Aug 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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