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ROBERT C GRAY
CRD#: 4943340
IA
B
NEWEDGE ADVISORSCRD#: 171351 1714 N. Lincoln Ave
Pierre, SD 57501
Pierre, SD 57501
LPL FINANCIAL LLCCRD#: 6413 1714 N LINCOLN AVE
PIERRE, SD 57501
PIERRE, SD 57501
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Arizona 11/29/2017
B
Montana 11/29/2017
B
Arkansas 1/2/2024
B
Nebraska 11/29/2017
B
California 11/29/2017
IA
Nebraska 12/9/2024
B
Colorado 11/29/2017
B
Nevada 6/22/2023
B
District of Columbia 1/8/2021
B
New Mexico 11/14/2018
B
Florida 1/24/2018
B
North Carolina 7/1/2021
B
Georgia 10/22/2019
B
North Dakota 11/29/2017
B
Idaho 11/29/2017
B
Oregon 6/22/2023
B
Illinois 8/30/2023
B
Pennsylvania 6/22/2023
B
Indiana 2/1/2018
B
South Dakota 11/29/2017
B
Iowa 11/29/2017
IA
South Dakota 2/16/2018
B
Kansas 7/8/2020
B
Tennessee 5/6/2020
B
Louisiana 11/29/2017
B
Texas 11/29/2017
B
Maine 12/5/2018
IA
Texas 12/7/2018
B
Michigan 11/29/2017
B
Virginia 11/29/2017
B
Minnesota 11/29/2017
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Washington 11/29/2017
B
Missouri 8/30/2023
B
Wyoming 11/29/2017
SRO Registrations
B
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IA
Registered with this firm since 2/16/2018
B
Registered with this firm since 11/29/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/29/2017 - 10/06/2020 | FORT MILL, SC | |
IA | 05/05/2005 - 11/29/2017 | PIERRE, SD | |
B | 04/15/2005 - 11/29/2017 | PIERRE, SD |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.