JP
John F. Paxton
CLARIS FINANCIAL
Glen Allen, VA 23060
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CRD#: 2844197
JP
Professional summary
John Faulkner Paxton is a registered financial advisor currently at CLARIS FINANCIAL, LLC located in Glen Allen, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)Outside insurance;investment related;offer insurance solutions to clients;1/1/2009;1 hr/month;0 hrs during trading;agent 2)Oyster Holdings,Inc;not investment related;4128 Innslake Drive,Glen Allen,VA;holding company of consulting subsidiaries;passive owner;1/1/2009;0 hrs/month;0 hrs during trading;passive owner in holding company 3)Oyster Consulting;not investment related;Glen Allen,VA;compliance consulting firm;owned by Oyster Holdings;1/1/2009;0 hrs/month;0 hrs during trading;no involvement with this firm 4)Oyster Solutions;not investment related;Glen Allen,VA;provides compliance technology applications;entity owned by Oyster Holdings;1/1/2009;0 hrs/month;0 hrs during trading;no involvement with this firm 5)Oyster Bermuda;not investment related;Bermuda;compliance consulting in Bermuda;Oyster Holdings is a part owner of this entity;3/2012;0 hrs/month;0 hrs during trading;I have no operational or managerial involvement or responsibilities with Oyster Holdings or Oyster Bermuda 6)Pearl Staffing;not investment related;Glen Allen,VA;compliance consulting staffing firm;this is a wholly owned subsidiary of Oyster;6/2011;0 hrs/month;0 hrs during trading;I am a passive investor in Oyster
CRS (Client Relationship Summary) - RIA
Click below to view John Faulkner Paxton's 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®
NoneExperience
Current
January 16, 2014 - Present
CLARIS FINANCIAL, LLC
Office #1: 4510 Cox Rd. Suite 302, Glen Allen, VA 23060RIA
CRD#: 168503
Glen Allen, VA
Past
May 8, 2017 - October 3, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Glen Allen, VA
Past
January 9, 2009 - January 15, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLEN ALLEN, VA
Past
January 9, 2009 - May 23, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GLEN ALLEN, VA
Past
October 1, 1999 - January 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
October 1, 1999 - January 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
Past
February 18, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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".
CF
CLARIS FINANCIAL, LLC
CLARIS FINANCIAL, LLC
CRD#: 168503 / SEC#: 801-115295
RIA
Registered Investment Advisory firm - (5/16/2019 Approved)Louisiana
Registered Investment Advisory firm - (6/12/2019 Terminated)Maryland
Registered Investment Advisory firm - (6/18/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/10/2019 Terminated)Texas
Registered Investment Advisory firm - (6/7/2019 Terminated)Virginia
Registered Investment Advisory firm - (6/7/2019 Terminated)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
Maryland(9/6/2016)
IAR
North Carolina(4/14/2015)
IAR
Texas(7/2/2015)
IAR
Virginia(1/16/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CLARIS FINANCIAL, LLC
CLARIS FINANCIAL, LLC
CRD#: 168503 / SEC#: 801-115295
RIA
Registered Investment Advisory firm - (5/16/2019 Approved)Louisiana
Registered Investment Advisory firm - (6/12/2019 Terminated)Maryland
Registered Investment Advisory firm - (6/18/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/10/2019 Terminated)Texas
Registered Investment Advisory firm - (6/7/2019 Terminated)Virginia
Registered Investment Advisory firm - (6/7/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4510 Cox Rd. Suite 302, Glen Allen, VA 23060
Mailing Address
Phone number
(804) 935-3000
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,114 |
| AUM (Assets Under Management) | $ 285,968,222 |
Red Flags
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Company Information
CLARIS FINANCIAL, LLC
CRD#: 168503Glen Allen, VA 23060TRUST BUT VERIFY
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