DC
Dennis C. Clay
CREWS & ASSOCIATES
Little Rock, AR 72212
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CRD#: 1233857
DC
Professional summary
Dennis Charles Clay is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Dennis Charles Clay's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 1, 2017 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Past
March 3, 2006 - September 1, 2011
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
January 25, 2005 - February 28, 2006
CREWS & ASSOCIATES, INC.
BD
CRD#: 8052
LITTLE ROCK, AR
Past
December 11, 2000 - January 20, 2005
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
August 9, 1989 - December 20, 2000
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
May 8, 1989 - May 17, 1989
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
September 9, 1986 - May 8, 1989
T. J. RANEY & SONS, INC.
BD
CRD#: 3128
Past
October 3, 1985 - September 12, 1986
DELTA FINANCIAL INVESTMENT CORPORATION
BD
CRD#: 14391
Past
May 24, 1985 - September 27, 1985
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 30, 1984 - May 6, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
BD
CRD#: 14391
Past
March 15, 1984 - May 11, 1984
PARK, RYAN, INC.
BD
CRD#: 7154
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/18/2022)
RR
Alaska(11/9/2022)
RR
Arizona(10/31/2022)
RR
Arkansas(1/4/2017)
RR
California(10/19/2022)
RR
Colorado(10/18/2022)
RR
Connecticut(10/18/2022)
RR
Delaware(10/19/2022)
RR
District of Columbia(10/28/2022)
RR
Florida(10/19/2022)
RR
Georgia(10/20/2022)
RR
Hawaii(10/27/2022)
RR
Idaho(10/18/2022)
RR
Illinois(11/2/2022)
RR
Indiana(10/20/2022)
RR
Iowa(10/20/2022)
RR
Kansas(10/18/2022)
RR
Kentucky(10/20/2022)
RR
Louisiana(10/19/2022)
RR
Maine(10/19/2022)
RR
Maryland(10/20/2022)
RR
Massachusetts(10/18/2022)
RR
Michigan(10/20/2022)
RR
Minnesota(10/21/2022)
RR
Mississippi(10/18/2022)
RR
Missouri(10/19/2022)
RR
Montana(10/20/2022)
RR
Nebraska(10/18/2022)
RR
Nevada(11/2/2022)
RR
New Hampshire(10/20/2022)
RR
New Jersey(10/19/2022)
RR
New Mexico(10/19/2022)
RR
New York(10/23/2022)
RR
North Carolina(10/19/2022)
RR
North Dakota(10/24/2022)
RR
Ohio(10/18/2022)
RR
Oklahoma(10/19/2022)
RR
Oregon(10/20/2022)
RR
Pennsylvania(10/19/2022)
RR
Rhode Island(10/24/2022)
RR
South Carolina(10/20/2022)
RR
South Dakota(10/18/2022)
RR
Tennessee(10/19/2022)
RR
Texas(10/18/2022)
RR
Utah(10/19/2022)
RR
Vermont(10/19/2022)
RR
Virginia(10/19/2022)
RR
Washington(10/18/2022)
RR
West Virginia(10/20/2022)
RR
Wisconsin(10/24/2022)
RR
Wyoming(10/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/18/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
521 President Clinton Avenue Suite 800, Little Rock, AR 72201
Mailing Address
P.o. Box 1696, Little Rock, AR 72203-1696
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
130
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
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 | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
