Clayton H. Wertz
Professional summary
Clayton Holman Wertz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clayton is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Clayton had worked at 11 firms, which includes FIRST CANTERBURY SECURITIES INC., INTERNATIONAL CAPITAL MANAGEMENT CORP, INTEGRATED ADVISORS NETWORK LLC, FFEC WEALTH PARTNERS LLC, ZT WEALTH ADVISORY, ASPEN EQUITY PARTNERS LLC, HILLTOP SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2019 - April 8, 2019
FIRST CANTERBURY SECURITIES, INC.
March 27, 2017 - October 31, 2017
INTERNATIONAL CAPITAL MANAGEMENT CORP
July 30, 2016 - August 31, 2016
INTEGRATED ADVISORS NETWORK LLC
October 2, 2015 - October 14, 2016
FFEC WEALTH PARTNERS LLC
October 2, 2015 - October 14, 2016
FFEC WEALTH PARTNERS LLC
July 2, 2012 - August 31, 2016
ZT WEALTH ADVISORY
June 29, 2012 - October 1, 2015
ASPEN EQUITY PARTNERS, LLC
August 27, 2007 - July 27, 2012
HILLTOP SECURITIES INC.
August 21, 2007 - July 27, 2012
HILLTOP SECURITIES INC.
September 29, 2003 - August 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2001 - January 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2001 - January 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1999 - March 29, 2000
MORGAN STANLEY DW INC.
February 24, 1998 - March 6, 1998
H.J. MEYERS & CO., INC.
February 24, 1998 - May 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CANTERBURY SECURITIES, INC.
CRD#: 13121 / SEC#: , 8-29446
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JENNISON, RAYMOND ELLIS JR | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 867502 |
Disclosures
| Regulatory Event | 5 |
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