Albert L. Gray
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.
Albert Leroy Gray JR, who also goes by Albert L Gray Jr, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1978. Albert had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2010 - July 26, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 11, 2007 - July 26, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 28, 2007 - July 31, 2007
L.O. THOMAS & CO. INC.
October 24, 2005 - December 21, 2005
CETERA INVESTMENT ADVISERS LLC
October 24, 2005 - December 20, 2005
CETERA FINANCIAL SPECIALISTS LLC
September 8, 2004 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
September 8, 2004 - October 24, 2005
C. J. M. PLANNING CORP.
May 1, 2003 - August 30, 2004
ALLSTATE FINANCIAL SERVICES, LLC
August 27, 2001 - May 21, 2003
PARK AVENUE SECURITIES LLC
August 29, 1998 - August 9, 2001
1717 CAPITAL MANAGEMENT COMPANY
May 23, 1996 - September 2, 1998
TOWER SQUARE SECURITIES, INC.
April 12, 1993 - January 10, 1995
BERKSHIRE EQUITY SALES, INC.
February 18, 1982 - November 5, 1992
PRUCO SECURITIES, LLC.
July 18, 1978 - November 5, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 7/10/1978
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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