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Connie Charlotte Grey

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Louisville, KY

Evansville, IN

Huntington, WV

Charleston, WV

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APP_PEND_IARCE 2026-01-01
WV RA APPROVED 2017-09-12
IN RA APPROVED 2017-09-08
OH RA APPROVED 2017-09-07
TX RA APPROVED_RES 2015-06-19
  • KY RA
    APP_PEND_IARCE
    Since 2026-01-01
  • WV RA
    APPROVED
    Since 2017-09-12
  • IN RA
    APPROVED
    Since 2017-09-08
  • OH RA
    APPROVED
    Since 2017-09-07
  • TX RA
    APPROVED_RES
    Since 2015-06-19

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • United States

7300 Eagle Crest Blvd, Evansville, IN 47715 • United States

1117 3Rd Ave, Huntington, WV 25701 • United States

500 Lee St E, Charleston, WV 25301 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louisville KY 05/2015 Present
Previous Registrations
  • 2009-11-13 → 2015-05-27
    Pnc Wealth Management Llc
    Carmel, IN
    Indianapolis, IN
  • 2002-11-20 → 2009-11-13
    Natcity Investments, Inc.
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Farrell, PA
  • 2000-05-17 → 2002-11-15
    Prudential Equity Group, Llc
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-21
S63 Uniform Securities Agent State Law Examination 1989-11-13
  • S65 Uniform Investment Adviser Law Examination
    1996-08-21
  • S63 Uniform Securities Agent State Law Examination
    1989-11-13

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
MORGAN STANLEY · Louisville, KY
WAYCROSS GP, LLC · LOUISVILLE, KY
WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
KESTRA ADVISORY SERVICES, LLC · Louisville, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY

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