WILLIAM GEORGE GRAY

WILLIAM GEORGE GRAY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 504 MYRTLEWOOD DR, CALIMESA, CA, 92320.

WILLIAM GEORGE GRAY has worked at LPL FINANCIAL LLC since June 17, 2003

Disclosure History

WILLIAM GEORGE GRAY has 11 Disclosure Event(s).

Date: October 28, 2015
Category: Regulatory

Date: August 02, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: July 04, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: June 25, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: June 22, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: June 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: June 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: May 20, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: May 06, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: May 06, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

Date: May 06, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: SETTLED DISPUTE RESOLUTION.

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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