Clay H. Eschrich
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.
Clay Harry Eschrich was a registered financial professional .
Clay is a previously registered financial professional and started their career in finance in 1990. Clay had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2020 - May 12, 2026
MADISON AVENUE SECURITIES, LLC
August 31, 2010 - April 11, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 28, 2008 - September 3, 2010
QUESTAR CAPITAL CORPORATION
September 23, 2002 - February 14, 2006
USALLIANZ SECURITIES, INC.
November 14, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 14, 1990 - March 15, 2001
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
