missy

Missy Gray

Compliance Officer

As Compliance Officer, Missy oversees adherence to applicable local, state, and federal financial laws, regulations, and internal policies. 

Missy is an experienced leader known for her strong organizational skills and exceptional attention to detail. She has more than 25 years of experience in the financial industry. Throughout her career, Missy has worked extensively in operational and compliance roles, supporting strong internal processes and regulatory oversight. 

She has passed the Series 65 Uniform Investment Adviser Law Examination and is registered as an Investment Adviser Representative. She holds life and health insurance licenses. She has also passed the Series 6, 7, 24, 26, 51, and 53 FINRA examinations. 

Outside of work, Missy enjoys spending time outdoors with her teenage sons, Carson and Max. Together, they enjoy long bike rides on nearby trails, bonfires, fishing in the pond behind their home, and swimming at their grandparents’ house.  

Missy Gray's Designations & Licenses

Series 6
The Series 6 license is the limited-investment securities license. It allows its holders to sell "packaged" investment products such as mutual funds, variable annuities, and unit investment trusts (UITs). The Series 6 exam is 90 minutes long and covers information regarding packaged investments, securities regulations, and ethics. This license is also required for insurance agents that sell variable investment products.
Series 7
The Series 7 license is the general securities representative license. Those who carry this license are officially listed as "registered representatives" by the Financial Industry Regulatory Authority (FINRA) and referred to as stockbrokers. Series 7 authorizes licensees to sell any individual security, including common and preferred stocks, call and put options, bonds, and other fixed-income investments.
Series 24
The Series 24 is an exam and license entitling the holder to supervise and manage branch activities at a broker-dealer. It is also known as the General Securities Principal Qualification Examination and was designed to test the knowledge and competency of candidates aiming to become entry-level securities principals. Supervisory activities allowed after passing the exam include regulatory compliance over trading and market-making activities, underwriting, and advertising.
Series 26

The Series 26 is an examination administered by the Financial Industry Regulatory Authority (FINRA). Although it is often simply referred to as the Series 26 exam, its full name is the Investment Company and Variable Contracts Products Principal Exam.

As its full name suggests, passing the Series 26 exam entitles candidates to register as a limited principle responsible for supervising personnel who sell redeemable securities, such as mutual funds, variable insurance contracts, and other financial products as outlined in the Investment Company Act of 1940.

Series 51
The Series 51 is a financial exam for professionals wishing to sell municipal fund securities or oversee the sale of such securities. The exam’s full name is the Municipal Fund Securities Limited Principal Qualification Examination, and it is jointly overseen by two financial regulators: the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB).
Series 53
The Series 53 exam is a licensing test that permits an individual to supervise the municipal securities activities of a securities firm or bank dealer. The Series 53 exam is administered by the Financial Industry Regulatory Authority (FINRA) and is one of many Municipal Securities Rulemaking Board (MSRB) exams. The Series 53 exam is also known as the Municipal Securities Principal Qualification Examination (MP).
Series 65
The Series 65 license is required for individuals providing financial advice on a non-commission basis. Financial planners, advisors, stockbrokers, and other registered representatives that provide investment advice for an hourly fee fall into this category. The exam is a 180-minute test covering the rules and regulations for registered investment advisors and various investment vehicles and disciplines, economics, ethics, and analysis.
Back to Team Page

Ready to take your retirement to the next level?

Let's chat! Schedule a RetireReady Call to talk with a retirement planner about your retirement vision.

Schedule a Call

Ready to take your retirement to the next level?

Let's chat! Schedule a RetireReady Call to talk with a retirement planner about your retirement vision.

Schedule a Call
Call Now Button