Alan C. 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.
Alan Clifton Clayton, who also goes by Alan C Sr Clayton, Alan Clifton Clayton Sr, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 13 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
November 9, 2016 - July 25, 2019
HOLLY STREET SECURITIES
June 17, 2016 - October 27, 2016
IBN FINANCIAL SERVICES, INC.
March 25, 2016 - June 2, 2016
VESTECH SECURITIES, INC.
April 23, 2015 - March 21, 2016
OAKBRIDGE FINANCIAL SERVICES
October 15, 2014 - March 31, 2015
KOVACK SECURITIES INC.
October 26, 2010 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
September 6, 2006 - October 27, 2010
INTEGRATED TRADING AND INVESTMENTS, INC.
June 19, 2001 - September 7, 2006
USALLIANZ SECURITIES, INC.
February 11, 2000 - June 21, 2001
RICHARD B. VANCE & COMPANY
July 29, 1999 - February 15, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 3, 1999 - August 20, 1999
PARK AVENUE SECURITIES LLC
January 24, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
February 11, 1994 - September 23, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HOLLY STREET SECURITIES
CRD#: 19806 / SEC#: , 8-37792
Contact information
Documents
Red Flags
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