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RG

Russell E. Gray

Some features on this profile are disabled
CRD#: 862620
RG

Professional summary

Russell Edward Gray was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Russell is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Russell had worked at 10 firms, which includes INVESTORS CAPITAL CORP., ROBERT THOMAS SECURITIES INC, AMERICAN HERITAGE SECURITIES INC., CNL INC., CITISTREET EQUITIES LLC, FINANCIAL AMERICA SECURITIES INC., SIGNATOR INVESTORS INC., A. G. EDWARDS & SONS INC., CITIGROUP GLOBAL MARKETS INC., METLIFE INVESTORS DISTRIBUTION COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 20, 1998 - January 19, 2000

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

December 12, 1996 - August 9, 1997

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

October 20, 1993 - December 18, 1996

AMERICAN HERITAGE SECURITIES, INC.

BD
CRD#: 29678
AKRON, OH
Past

May 4, 1987 - March 11, 1988

CNL, INC.

BD
CRD#: 15820
Past

August 28, 1986 - May 1, 1987

CITISTREET EQUITIES LLC

BD
CRD#: 7447
Past

December 24, 1985 - August 6, 1986

FINANCIAL AMERICA SECURITIES, INC.

BD
CRD#: 5100
Past

August 3, 1984 - January 16, 1986

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

November 15, 1983 - April 16, 1984

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

May 20, 1982 - September 26, 1983

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

December 22, 1981 - March 25, 1982

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/10/1979
Registered Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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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Company Information

INVESTORS CAPITAL CORP.

CRD#: 30613

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