Darren S. Northam

CLAY NORTHAM WEALTH MANAGEMENT

Huntington Beach, CA 92649

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CRD#: 2765202

Professional summary

Darren Scott Northam, CFP®, who also goes by Darren Northam, is a registered financial advisor currently at CLAY NORTHAM WEALTH MANAGEMENT located in Huntington Beach, California.

Darren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Darren has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Darren Northam

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DARREN NORTHAM - SOLE PROPRIETOR; NOT INVESTMENT RELATED; 16400 PACIFIC COAST HIGHWAY, STE. 207 HUNTINGTON BEACH, CA 92649; MANAGEMENT SELLING FIXED INSURANCE, LONG TERM, LIFE, HEALTH AND DI; START DATE: SINCE 10/02/06; APPROX 12 HRS/MO 2) DARREN NORTHAM, CFP, S CORP FOR TAX PURPOSES, OWNER, SINCE 1/1/13, 0 HOURS/ MONTH, 16400 PACIFIC COAST HIGHWAY, STE. 207 HUNTINGTON BEACH, CA 92649

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren Scott Northam's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

October 3, 2011 - Present

CLAY NORTHAM WEALTH MANAGEMENT

Office #1: 16400 Pacific Coast Highway Suite 207, Huntington Beach, CA 92649

RIA

CRD#: 159002

Huntington Beach, CA

Past

November 1, 2011 - October 31, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SEAL BEACH, CA

Past

October 2, 2006 - November 9, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SEAL BEACH, CA

Past

October 2, 2006 - November 9, 2011

LPL FINANCIAL LLC

CRD#: 6413

SEAL BEACH, CA

Past

February 11, 2002 - October 5, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SEAL BEACH, CA

Past

October 3, 2001 - October 5, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

SEAL BEACH, CA

Past

July 8, 1996 - September 26, 2001

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLAY NORTHAM WEALTH MANAGEMENT

CLAY NORTHAM WEALTH MANAGEMENT | CLAY NORTHAM WEALTH MANAGEMENT, LLC

CRD#: 159002 / SEC#: 801-110283

RIA

Registered Investment Advisory firm - (4/3/2017 Approved)

California

Registered Investment Advisory firm - (9/3/2017 Terminated)

Texas

Registered Investment Advisory firm - (8/4/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/5/2011)

IAR

Texas
(10/3/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/25/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/28/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CLAY NORTHAM WEALTH MANAGEMENT

CLAY NORTHAM WEALTH MANAGEMENT | CLAY NORTHAM WEALTH MANAGEMENT, LLC

CRD#: 159002 / SEC#: 801-110283

RIA

Registered Investment Advisory firm - (4/3/2017 Approved)

California

Registered Investment Advisory firm - (9/3/2017 Terminated)

Texas

Registered Investment Advisory firm - (8/4/2017 Terminated)

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Contact information

Main Address

16400 Pacific Coast Highway Suite 207, Huntington Beach, CA 92649

Mailing Address

Phone number

(562) 431-9988

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLAY NORTHAM WEALTH MANAGEMENT ADV 2A & 2B (8/27/2025)

Regulatory assets under management

Total Number of Accounts	1,089
AUM (Assets Under Management)	$ 301,584,200

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.

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Advisor Monitoring

Firm Stability Insights

Darren S. Northam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren Scott Northam's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CLAY NORTHAM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 7/12/1996

Series 7

Date: 5/25/2001

Series 6

Date: 7/3/1996

Series 24

Date: 12/28/2006

Series 26

Date: 8/28/1997

Current Firm

CLAY NORTHAM WEALTH MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLAY NORTHAM WEALTH MANAGEMENT

TRUST BUT VERIFY

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