Candi A. Clement
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.
Candi Ann Clement, who also goes by Candi Clement, Candi Ann Finley, Candi Ann Smith, Candi Smith, was a registered financial professional .
Candi is a previously registered financial professional and started their career in finance in 1985. Candi had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - March 1, 2022
FROST INVESTMENT SERVICES
May 1, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
July 31, 1997 - March 1, 2022
FROST BROKERAGE SERVICES, INC.
June 14, 1996 - April 18, 1997
BANK UNITED SECURITIES CORP.
November 5, 1992 - June 11, 1996
BA INVESTMENT SERVICES, INC.
March 22, 1989 - November 9, 1992
WADDELL & REED
April 24, 1985 - April 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
