Catherine R. Clay
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.
Catherine Renee Clay, who also goes by Cathy Clay, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1994. Catherine had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 44 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
August 22, 2012 - August 3, 2015
LIVEVOL SECURITIES, INC.
May 8, 2007 - April 23, 2012
VTRADER PRO, LLC
June 22, 2005 - February 22, 2007
IBKR SECURITIES SERVICES LLC
April 14, 1994 - December 31, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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 44
Date: 11/22/1994
PCX Market Maker ExamCurrent Firm
LIVEVOL SECURITIES, INC.
CRD#: 23670 / SEC#: , 8-40623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIVEVOL, INC. | OWNER | |
| ALVIRA, LUIS | MANAGING DIRECTOR, CCO | 2714996 |
Disclosures
| Regulatory Event | 3 |
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.
