Amy E. Clayton

TRUST ADVISORY GROUP LTD

Westport, CT

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CRD#: 1241917

Professional summary

Amy Ellen Clayton, who also goes by Amy Ellen Claytonbenjamin, Amy Claytonbenjamin, is a registered financial advisor currently at TRUST ADVISORY GROUP LTD located in Westport, Connecticut and STONEX SECURITIES INC. located in Westport, Connecticut.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Amy has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Ellen Claytonbenjamin | Amy Claytonbenjamin

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.

Saugatuck Island Homeowners Association; NOT investment related; Westport, CT; homeowners association; Board Member; 05/01/2019; 1 hr/month, 0 hrs during trading hours; provide general help regarding homeowners association

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Ellen Clayton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 10, 2017 - Present

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Westport, CT

Current

September 30, 2024 - Present

STONEX SECURITIES INC.

CRD#: 18456

WESTPORT, CT

Past

February 7, 2017 - September 23, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

October 18, 2006 - February 10, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

WESTPORT, CT

Past

September 2, 2003 - October 19, 2006

SOURCE CAPITAL MANAGEMENT

RIA

CRD#: 111967

WESTPORT, CT

Past

April 24, 2003 - February 10, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

October 26, 1994 - April 8, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STAMFORD, CT

Past

October 24, 1994 - April 8, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 13, 1991 - October 18, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 23, 1984 - May 17, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Connecticut
(2/10/2017)

Connecticut
(9/30/2024)

District of Columbia
(10/22/2024)

Florida
(10/22/2024)

Maine
(10/1/2024)

Massachusetts
(10/2/2024)

New Jersey
(9/30/2024)

New York
(10/22/2024)

North Carolina
(2/11/2025)

Pennsylvania
(10/1/2024)

Texas
(9/30/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts	1,720
AUM (Assets Under Management)	$ 494,407,359

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.

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Advisor Monitoring

Firm Stability Insights

Amy E. Clayton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Ellen Clayton's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL MANAGEMENT

SOURCE CAPITAL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/1992

Series 63

Date: 12/12/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

FINRA

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

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