Asa Saint Clair
Professional summary
Asa Saint Clair was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Asa Saint Clair, who also goes by Asa Williams, was a registered financial advisor .
Asa is a previously registered financial advisor and started their career in finance in 1992. Asa had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2007 - November 26, 2012
CENTURY PACIFIC SECURITIES, INC.
January 7, 2005 - October 11, 2005
SYNERGY INVESTMENT GROUP, LLC
December 17, 2003 - October 11, 2005
SYNERGY INVESTMENT GROUP, LLC
September 16, 2003 - December 8, 2003
AURA FINANCIAL SERVICES, INC.
January 12, 2001 - December 8, 2003
AURA FINANCIAL SERVICES, INC.
November 2, 2000 - January 11, 2001
WOODBURY FINANCIAL SERVICES, INC.
May 6, 1992 - September 24, 1992
WOODBURY FINANCIAL SERVICES, 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
CENTURY PACIFIC SECURITIES, INC.
CRD#: 113698 / SEC#: , 8-53355
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
