Ricky B. Clay
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.
Ricky Bernard Clay, who also goes by R Bernard Clay, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1983. Ricky had worked at 7 firms and has passed the Series 65, Series 63, 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
October 3, 2008 - December 31, 2019
CLAY CAPITAL MANAGEMENT LLC
July 18, 2008 - September 12, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 18, 2008 - September 12, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 2, 2002 - August 1, 2008
WOODBURY FINANCIAL SERVICES, INC.
December 14, 1992 - August 1, 2008
WOODBURY FINANCIAL SERVICES, INC.
July 15, 1992 - November 2, 1992
LOCUST STREET SECURITIES, INC.
November 26, 1985 - November 19, 1991
LOCUST STREET SECURITIES, INC.
November 23, 1984 - November 29, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
January 28, 1983 - November 1, 1984
PRUCO SECURITIES, LLC.
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
CLAY CAPITAL MANAGEMENT LLC
CRD#: 146658 / SEC#:
Contact information
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.
