KEVIN NICHOLAS GRAY is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 8000 IH 10 WEST, SUITE 750, SAN ANTONIO, TX, 78230.

KEVIN NICHOLAS GRAY has worked at AXA ADVISORS, LLC since August 16, 2012

Disclosure History

KEVIN NICHOLAS GRAY has 1 Disclosure Event(s).

Date: May 25, 2017
Category: Customer Dispute
Allegations: Client alleges misrepresentation and unsuitable recommendations in the purchase of a variable annuity in 2016 and universal life insurance policy in 2017.
Broker Comment: The Firm found no basis to the customer complaint. Based on appeal received on 8/22/2017, the Firm settled the matter. There was no loss to the Firm.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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