Marc S. Clayman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marc Steven Clayman, who also goes by Marc S. Clayman, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1988. Marc had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - March 9, 2017
TRUIST ADVISORY SERVICES, INC.
December 14, 2005 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
April 21, 2004 - March 9, 2017
TRUIST INVESTMENT SERVICES, INC.
September 30, 2002 - March 20, 2003
NCF FINANCIAL SERVICES, INC.
September 11, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
August 28, 2001 - December 21, 2002
MML DISTRIBUTORS, LLC
June 16, 2000 - February 22, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
January 6, 2000 - March 3, 2000
MONY SECURITIES CORPORATION
May 23, 1997 - March 30, 1998
CARILLON INVESTMENTS, INC.
January 19, 1996 - August 21, 1996
MORGAN STANLEY DW INC.
July 22, 1994 - December 31, 1995
EQUITY SERVICES, INC.
August 23, 1990 - July 27, 1992
C.A.L. INVESTMENT SERVICES INC.
August 8, 1988 - May 18, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 8, 1988 - May 18, 1990
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
