James J. Clayton
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.
James Joel Clayton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2013 - January 16, 2014
LCG CAPITAL ADVISORS, LLC
January 5, 2006 - May 1, 2012
SCOTT & STRINGFELLOW, LLC
January 10, 2005 - January 12, 2006
BERGEN CAPITAL, INC.
June 1, 1995 - January 3, 2005
GMS GROUP
February 23, 1988 - June 6, 1995
WACHOVIA SECURITIES, 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
LCG CAPITAL ADVISORS, LLC
CRD#: 129311 / SEC#: , 8-66213
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
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.
