Charles L. 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.
Charles Lewis Clayton, who also goes by Charles L Clayton, Charles Clayton, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 14 firms and has passed the Series 63, Series 65, Series 6TO, 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
October 7, 2019 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 17, 2007 - August 22, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 2005 - March 12, 2007
MSI FINANCIAL SERVICES, INC.
November 3, 2005 - March 12, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 3, 2005 - March 12, 2007
MSI FINANCIAL SERVICES, INC.
May 5, 2003 - February 2, 2005
WADDELL & REED
May 2, 2003 - February 2, 2005
WADDELL & REED
February 14, 2002 - April 22, 2003
FORESTERS EQUITY SERVICES, INC.
October 17, 2001 - March 6, 2002
MONY SECURITIES CORPORATION
February 20, 2001 - August 20, 2001
CAL FED INVESTMENTS
August 10, 2000 - January 29, 2001
IDS LIFE INSURANCE COMPANY
August 10, 2000 - January 29, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 1999 - July 14, 2000
HORNOR, TOWNSEND & KENT, LLC
December 22, 1998 - April 29, 1999
WMA SECURITIES, INC.
August 6, 1996 - January 21, 1997
THE ADVISORS GROUP, INC.
March 1, 1996 - August 19, 1996
HORNOR, TOWNSEND & KENT, LLC
January 6, 1995 - July 14, 1995
WADDELL & REED
April 24, 1993 - August 2, 1993
PRUCO SECURITIES, LLC.
January 8, 1993 - April 17, 1993
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Series 6TO
Date: 10/7/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
