John P. Clegg

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CRD#: 1573728

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.

John Patrick Clegg, who also goes by Patrick Clegg, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick Clegg

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.

Blog Corner

CRS (Client Relationship Summary)

CRD#: 146

Past

December 8, 1986 - September 10, 1991

AMERICAN CAPITAL MARKETING, INC.

CRD#: 6699

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".

PIN OAK INVESTMENT ADVISORS INC

PIN OAK INVESTMENT ADVISORS | PIN OAK INVESTMENT ADVISORS INC

CRD#: 105550 / SEC#: 801-35858

RIA

Registered Investment Advisory firm - (1/12/1990 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 8/30/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/8/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 12/27/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/22/2005

General Securities Representative Examination

Current Firm

PIN OAK INVESTMENT ADVISORS INC

PIN OAK INVESTMENT ADVISORS | PIN OAK INVESTMENT ADVISORS INC

CRD#: 105550 / SEC#: 801-35858

RIA

Registered Investment Advisory firm - (1/12/1990 Approved)

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Contact information

Main Address

510 Bering Drive Ste 100, Houston, TX 77057

Mailing Address

Phone number

(713) 871-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PIN OAK ADVISORS, INC. ADV PART 2 (4/2/2025)

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 671,937,578

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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John P. Clegg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOOKOUT CAPITAL MANAGEMENT, LP

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

GARCIA HAMILTON & ASSOCIATES LP

ADVANTAGE CAPITAL CORPORATION

AMERICAN CAPITAL MARKETING, INC.

Primary Firm SEC Registration

PIN OAK INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2005

Series 65

Date: 10/8/1992

Series 3

Date: 12/27/2005

Series 7

Date: 8/22/2005

Current Firm

PIN OAK INVESTMENT ADVISORS INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PIN OAK INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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