Adam S. Claypool
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.
Adam Stone Claypool was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1995. Adam had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 7 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
February 19, 2013 - October 13, 2020
M&A SECURITIES GROUP, INC.
December 21, 2007 - October 29, 2012
COMMERCE WEALTH ADVISERS, LLC
December 21, 2007 - October 29, 2012
DEWAAY FINANCIAL NETWORK, LLC
July 23, 2002 - November 6, 2007
INVESTMENT ADVISORS CORP
March 6, 2002 - October 25, 2007
BROKER DEALER FINANCIAL SERVICES CORP.
February 14, 1995 - July 13, 2000
MML INVESTORS SERVICES, LLC
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 7TO
Date: 3/30/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/30/2024
Investment Banking Registered Representative ExaminationCurrent Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
