Clayton T. Smudsky
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.
Clayton Thomas Smudsky, CIMA®, who also goes by Clay Smudsky, Clayton T Smudsky, was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 1987. Clayton had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2021 - August 2, 2023
EDWARD JONES
February 19, 2021 - August 2, 2023
EDWARD JONES
October 24, 2019 - February 19, 2021
GEMMER ASSET MANAGEMENT LLC
June 26, 2019 - February 19, 2021
MORGAN CREEK CAPITAL DISTRIBUTORS, LLC
June 6, 2018 - January 22, 2019
FORGE SECURITIES LLC
January 11, 2016 - January 8, 2018
SOFI WEALTH LLC
January 4, 2016 - January 8, 2018
SOFI SECURITIES LLC
September 21, 2005 - June 17, 2015
ALPS DISTRIBUTORS, INC.
September 3, 2003 - June 16, 2015
FORWARD MANAGEMENT, LLC
April 1, 2003 - September 9, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
May 2, 2001 - February 11, 2003
FORESIDE FUNDS DISTRIBUTORS LLC
September 1, 1998 - April 6, 2001
CITIGROUP GLOBAL MARKETS INC.
September 9, 1996 - September 1, 1998
SALOMON BROTHERS INC.
December 22, 1987 - August 8, 1996
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
