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Brian Gray Stein

Investment Adviser Representative at NATIONS FINANCIAL GROUP, INC.

Greenwood Village, COCRD #4117327Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
15 yrs
States Registered
12 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 12 states
ArizonaCaliforniaColoradoFloridaIndianaNew MexicoNew YorkPennsylvaniaTexasUtahVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/22/2012
Series 63
Uniform Securities Agent State Law Examination
Passed 5/31/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/8/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Nations Financial Group, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NATIONS FINANCIAL GROUP, INC.Current
12/23/2015Greenwood Village, CO
MORGAN STANLEY
8/23/20121/4/2016Greenwood Village, CO

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Gray Stein has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Brian Gray Stein - Financial Advisor in Greenwood Village, CO | AdvisorFinder