Dennis Charles Clay
Professional Summary
Dennis Charles Clay is a registered financial advisor currently at CREWS & ASSOCIATES, INC. located in Little Rock, Arkansas. Dennis is registered as a RR (Registered Representative) and started their career in finance in 1984. Dennis has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 52, Series 3, Series 5, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
Contact Information
Main Address
4007 N Rodney Parham Rd, Little Rock, AR 72212Mailing Address
4007 N Rodney Parham Rd, Little Rock, AR 72212Phone Number
(501) 907-2000Established
Arkansas since 07/06/1979Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
145SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | — |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory Assets Under Management
Total Number of Accounts
336AUM (Assets Under Management)
$181,087,303Disclosures
Regulatory Event
15Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
State Registrations and Notice Filings
(10/18/2022)
(11/9/2022)
(10/31/2022)
(1/4/2017)
(10/19/2022)
(10/18/2022)
(10/18/2022)
(10/19/2022)
(10/28/2022)
(10/19/2022)
(10/20/2022)
(10/27/2022)
(10/18/2022)
(11/2/2022)
(10/20/2022)
(10/20/2022)
(10/18/2022)
(10/20/2022)
(10/19/2022)
(10/19/2022)
(10/20/2022)
(10/18/2022)
(10/20/2022)
(10/21/2022)
(10/18/2022)
(10/19/2022)
(10/20/2022)
(10/18/2022)
(11/2/2022)
(10/20/2022)
(10/19/2022)
(10/19/2022)
(10/23/2022)
(10/19/2022)
(10/24/2022)
(10/18/2022)
(10/19/2022)
(10/20/2022)
(10/19/2022)
(10/24/2022)
(10/20/2022)
(10/18/2022)
(10/19/2022)
(10/18/2022)
(10/19/2022)
(10/19/2022)
(10/19/2022)
(10/18/2022)
(10/20/2022)
(10/24/2022)
(10/20/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2017About the Series 50 examSeries 5 — Interest Rate Options Examination
Passed Jun 1985SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Dennis Charles Clay's CRS (Customer Relationship Summary).
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