Iris R. 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.
Iris Rebecca Clay, who also goes by Iris Rebecca Tarver, was a registered financial professional .
Iris is a previously registered financial professional and started their career in finance in 1986. Iris had worked at 4 firms and has passed the Series 63, Series 65 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
May 2, 2012 - June 3, 2014
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
January 27, 2004 - December 1, 2009
PINEBRIDGE SECURITIES LLC
September 3, 1998 - March 7, 2002
THE VARIABLE ANNUITY MARKETING COMPANY
December 23, 1986 - August 12, 1998
CROSSMARK DISTRIBUTORS, INC.
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
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
CRD#: 157767 / SEC#: , 8-68860
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
