Clinton S. Cary
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.
Clinton Scot Cary, who also goes by Clinton Scott Cary, was a registered financial professional .
Clinton is a previously registered financial professional and started their career in finance in 2003. Clinton had worked at 4 firms and has passed the Series 66, Series 7TO, SIE 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
May 2, 2018 - October 19, 2021
TOWERS WATSON INVESTMENT SERVICES, INC.
January 25, 2018 - September 24, 2021
FORESIDE FUND SERVICES, LLC
March 24, 2011 - July 12, 2017
AON SECURITIES LLC
January 13, 2004 - November 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2003 - November 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
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: 3/12/2024
General Securities Representative ExaminationCurrent Firm
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 52,220,039,039 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/31/2025 | ||
| 09/27/2024 | ||
| 08/28/2023 | ||
| 11/22/2022 |
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.
