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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gray is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Louisville, KY. James has been in the industry since 2021 and has a strong track record of providing financial guidance to clients. James holds both Series 63 and 65 licenses and is registered with the state of Kentucky. James has a diverse background in finance, including experience in investment banking and wealth management. James is committed to providing personalized financial advice to meet each client's unique needs. James is committed to building long-term relationships with clients and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
KY
03/12/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOUISVILLE KY)
KY
09/01/2021 - 12/04/2023
TRIAD ADVISORS LLC (Lexington KY)
KY
04/07/2021 - 09/01/2021
MONEY CONCEPTS CAPITAL CORP (LEXINGTON KY)
IA
Issued 11/04/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/07/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/26/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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