Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Edward Gray has been in the financial industry since June 8, 1991. Roy is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Illinois and Texas. Roy has also previously been employed by a number of other firms, including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Edward Jones, and Pruco Securities Corporation. Roy has a wide range of experience and qualifications, including Series 7, 6, 22, 31, and 63 licenses, as well as the SIE and Series 65 exams.
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
IL
12/15/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SWANSEA IL)
IL
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (SHILOH IL)
IL
05/06/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHILOH IL)
MO
09/01/1995 - 05/10/2005
EDWARD JONES (ST. LOUIS MO)
NJ
11/11/1994 - 07/18/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NY
11/05/1986 - 05/22/1990
FINANCIAL PLANNING SERVICES - INTERNATIONAL, INC. (NEW YORK NY)
NA
04/21/1987 - 04/21/1989
INTEGRATED RESOURCES EQUITY CORPORATION
IA
Issued 07/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 08/31/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/10/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/17/1987
Series 22 - Direct Participation Programs Representative 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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