Clay C. Border
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.
Clay Coleman Border, who also goes by Clay Border, was a registered financial professional .
Clay is a previously registered financial professional and started their career in finance in 1993. Clay had worked at 8 firms and has passed the Series 63, SIE and Series 7 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, 2012 - October 25, 2016
DCMB SECURITIES LLC
February 24, 2010 - April 9, 2012
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
June 22, 2009 - February 8, 2010
PRITCHARD CAPITAL PARTNERS, LLC
July 17, 2007 - May 19, 2009
PRITCHARD CAPITAL PARTNERS, LLC
February 25, 2005 - July 26, 2007
INVESTORS CAPITAL CORP.
July 2, 2004 - March 11, 2005
OPPENHEIMER & CO. INC.
June 6, 2002 - July 15, 2004
J.P. MORGAN SECURITIES LLC
June 10, 1994 - December 13, 2000
UBS FINANCIAL SERVICES INC.
November 19, 1993 - May 17, 1994
LEHMAN BROTHERS 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
DCMB SECURITIES LLC
CRD#: 146578 / SEC#: , 8-67831
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DONOVAN, JOHN WILLIAM JR. | MANAGING MEMBER/PRESIDENT/SECRETARY/DESIGNATED PRINCIPAL/CCO | |
| KATZ, MARIE | FINOP/CFO | 2457660 |
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.
