Kevin Joseph Gray

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-03-31
FL	RA	APPROVED	2025-03-11

TX RA
APPROVED

Since 2025-03-31
FL RA
APPROVED

Since 2025-03-11

Branch Locations

Oakland Park, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Swan Global Investments, Llc	Durango	CO	09/2015	07/2018
Northern Lights Distributors, Llc	Omaha	NE	09/2015	07/2018
Unemployed	Hillsdale	NJ	08/2018	12/2018
Lpl Financial, Llc	Columbus	OH	12/2018	09/2021
Fisher Investments	Camas	WA	10/2021	07/2022
Unemployed	Hoboken	NJ	09/2022	01/2023
Nfp Retirement, Inc.	Aliso Viejo	CA	01/2023	01/2024
Unemployed	Fort Lauderdale	FL	02/2024	07/2024
Lpl Finanical Llc	Fort Lauderdale	FL	07/2024	Present

09/2015 → 07/2018

Swan Global Investments, Llc

Durango, CO
09/2015 → 07/2018

Northern Lights Distributors, Llc

Omaha, NE
08/2018 → 12/2018

Unemployed

Hillsdale, NJ
12/2018 → 09/2021

Lpl Financial, Llc

Columbus, OH
10/2021 → 07/2022

Fisher Investments

Camas, WA
09/2022 → 01/2023

Unemployed

Hoboken, NJ
01/2023 → 01/2024

Nfp Retirement, Inc.

Aliso Viejo, CA
02/2024 → 07/2024

Unemployed

Fort Lauderdale, FL
07/2024 → Present

Lpl Finanical Llc

Fort Lauderdale, FL

Previous Registrations

2023-01-30 → 2024-01-19

Wealthspire Retirement Advisory

Ford Lauderdale, FL

Holboken, NJ

Aliso Viejo, CA
2021-10-28 → 2022-08-18

Fisher Investments

Plano, TX

Hoboken, NJ
2019-01-02 → 2021-10-07

Lpl Financial Llc

Paramus, NJ

Hoboken, NJ
2015-10-21 → 2018-07-03

Swan Global Investments, Llc

Columbus, OH

Durango, CO
2011-09-21 → 2015-09-23

New York Life Investment Management Llc

New York, NY
2010-09-20 → 2011-06-09

Voya Financial Advisors, Inc.

Philadelphia, PA

Other Businesses

1.07/30/2024; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Russell Sweeney Wealth Management; Investment Related; at Reported Business Location(s); Start Date 06/27/2024; 160hrs/mth; 8hrs during trading 2.07/30/2024; KGRAY Holdings LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 02/01/2024; hrs/mth; hrs during trading 3.07/30/2024; BSKG Holdings LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 01/24/2024; hrs/mth; hrs during trading 4.08/12/2025; Greyson Tax & Consulting; Tax Prep/Accounting/CPA; Investment Related; 1177 W 3rd Ave Columbus,OH; Start Date 07/30/2024; 15hrs/mth; 0hrs during trading 5.08/21/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Greyson Private Wealth; Investment Related; at Reported Business Location(s); Start Date 09/01/2026; 160hrs/mth; 160hrs during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2024-08-15
S65	Uniform Investment Adviser Law Examination	2010-09-09

S63 Uniform Securities Agent State Law Examination

2024-08-15
S65 Uniform Investment Adviser Law Examination

2010-09-09

Designations

Certified Financial Planner

Other Names

Kevin J Gray

View on SEC IAPD