BC
Bruce C. Clayton
CLSA AMERICAS
New York, NY 10036
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CRD#: 2358950
BC
Professional summary
Bruce Carleton Clayton is a registered financial advisor currently at CLSA AMERICAS, LLC located in New York, New York.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bruce has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
New York Zeta of Phi Delta Theta Corporation (since June 2019) Investment Committee Member Member of a committee that oversees the corporation's investment account which owns ETFS and Mutual Funds. New York Zeta of Phi Delta Theta Corporation (since July 2023) CEO of the alumni organization for college fraternity with 1,100 members and direct the daily affairs of the corporation, manage employees and preside over meetings. Cloudless Catering LLC(since May 2024) (President) - this is a wholly-owned subsidiary of New York Zeta of Phi Delta Theta Corporation
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Carleton Clayton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Carleton Clayton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2019 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036RIA
BD
CRD#: 165533
New York, NY
Current
February 15, 2013 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036RIA
BD
CRD#: 165533
New York, NY
Past
May 2, 2000 - June 3, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
November 24, 1995 - May 23, 2000
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 3, 1993 - February 21, 1997
SOCGEN-CROSBY SECURITIES INC.
BD
CRD#: 30442
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/26/2013)
IAR
California(1/3/2019)
IAR
Connecticut(1/14/2019)
RR
Florida(6/4/2013)
RR
New York(2/19/2013)
RR
Texas(2/15/2013)
IAR
Texas(1/29/2019)
RR
Virginia(6/4/2013)
RR
Washington(10/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61
FINRA licenses (53 States and Territories)
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.
