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Detailed Report
STEPHEN EDWARD GRAY
CRD#: 2040775
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1304 W. COLLEGE AVE, SUITE A
SPOKANE, WA 99201
Registration History
199019952000200520102015202020252 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - Present (12 years)BING FINANCIAL ADVISERS, LLC (CRD# 34815)1993 - 2011 (17 years)BAETNA FINANCIAL SERVICES, INC. (CRD# 13255)2000 - 2000 (<1 year)BSYSTEMATIZED BENEFITS ADMINIST... (CRD# 19242)1993 - 1993 (<1 year)BAETNA LIFE INSURANCE AND ANNUI... (CRD# 13256)1990 - 1993 (3 years)IAING FINANCIAL ADVISERS, LLC (CRD# 34815)2000 - 2011 (10 years)
Disclosure(s)
View By:
1/27/2005
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alaska 7/29/2020
B
Montana 12/7/2012
B
Arizona 12/3/2012
B
Nevada 2/2/2021
B
California 12/3/2012
B
Oregon 12/3/2012
B
Colorado 10/10/2013
B
Texas 5/9/2019
B
Georgia 7/16/2015
B
Virginia 9/8/2021
B
Idaho 12/3/2012
B
Washington 12/3/2012
B
Michigan 9/7/2017
IA
Washington 12/3/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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LPL FINANCIAL LLC (CRD#:6413)
1304 W. COLLEGE AVE, SUITE A, SPOKANE, WA 99201
101 E 1ST AVE, RITZVILLE, WA 99169
Registered with this firm since 12/3/2012
IA
LPL FINANCIAL LLC (CRD#:6413)
1304 W. COLLEGE AVE, SUITE A, SPOKANE, WA 99201
1015 CENTRAL AVE. S., QUINCY, WA 98848
Registered with this firm since 12/3/2012
Previous Registration(s)
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IA
 01/03/2011 - 12/04/2012 ING FINANCIAL PARTNERS, INC (CRD#:2882) SPOKANE, WA
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 01/03/2011 - 12/04/2012 ING FINANCIAL PARTNERS, INC. (CRD#:2882) SPOKANE, WA
IA
 07/06/2000 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) SPOKANE, WA
B
 10/15/1993 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) SPOKANE, WA
B
 01/18/2000 - 09/25/2000 AETNA FINANCIAL SERVICES, INC. (CRD#:13255) HARTFORD, CT
B
 07/01/1993 - 10/15/1993 SYSTEMATIZED BENEFITS ADMINISTRATORS, INC. (CRD#:19242) WINDSOR, CT
B
 04/20/1990 - 10/15/1993 AETNA LIFE INSURANCE AND ANNUITY COMPANY (CRD#:13256) HARTFORD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.