Richard T. 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.
Richard Thompson Gray, who also goes by Rick Gray, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2011 - August 12, 2013
PICKWICK CAPITAL PARTNERS, LLC
July 7, 2006 - March 12, 2009
WESTMINSTER SECURITIES CORPORATION
September 5, 2001 - July 9, 2004
FLAGSTONE SECURITIES, LLC
September 29, 1999 - June 4, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 12, 1999 - September 14, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
April 8, 1997 - February 26, 1999
HENNESSEY & CO., L.L.C.
December 2, 1993 - October 13, 1994
MORGAN STANLEY DW INC.
May 26, 1992 - November 30, 1993
WELLS FARGO CLEARING SERVICES, LLC
November 26, 1990 - April 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 1990 - November 13, 1990
LEHMAN BROTHERS INC.
May 22, 1989 - August 13, 1990
LEHMAN BROTHERS INC.
May 1, 1986 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 29, 1982 - May 8, 1986
JOHNSON RESEARCH & CAPITAL INCORPORATED
November 2, 1978 - October 12, 1982
GOLDMAN SACHS & CO. LLC
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
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
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.
