Robert W. Clayton
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.
Robert Wayne Clayton was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 8 firms and has passed the Series 55 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
February 7, 2005 - June 11, 2014
FINANCE 500, INC.
January 2, 2004 - February 17, 2005
MARLINS CAPITAL, LLC
November 3, 2000 - January 7, 2004
FORGE FINANCIAL GROUP, INC.
November 24, 1999 - November 2, 2000
HILL THOMPSON MAGID & CO., INC.
July 6, 1999 - October 8, 1999
RYAN BECK & CO.
May 1, 1998 - July 15, 1999
EARLYBIRDCAPITAL, INC.
January 12, 1998 - March 26, 1998
JW GENESIS CLEARING CORP.
January 31, 1997 - September 24, 1997
NORTH AMERICAN CLEARING, 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
Series 55
Date: 4/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
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.
