Clayton R. Sontag
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.
Clayton Robert Sontag, who also goes by Clayton Sontag, was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 1993. Clayton had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4 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
July 7, 2010 - April 22, 2015
J.D. NICHOLAS & ASSOCIATES, INC.
April 28, 2010 - June 28, 2010
CUMBERLAND SECURITIES LLC
June 7, 2005 - May 4, 2010
ITRADEDIRECT.COM CORP
May 28, 2003 - June 8, 2005
GUNNALLEN FINANCIAL, INC
May 15, 2002 - May 30, 2003
STONEX SECURITIES INC.
December 10, 1997 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
March 17, 1997 - December 16, 1997
ARGENT SECURITIES, INC.
June 27, 1994 - March 11, 1997
STERLING FOSTER & COMPANY, INC.
October 4, 1993 - July 5, 1994
J. GREGORY & COMPANY, 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
J.D. NICHOLAS & ASSOCIATES, INC.
CRD#: 44791 / SEC#: , 8-50822
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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