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LC

Lawrence W. Clay

Some features on this profile are disabled
CRD#: 3034922
LC

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.

Lawrence William Clay, who also goes by Larry Clay, Lawrence W Clay, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1998. Lawrence had worked at 12 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 23, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Clay | Lawrence W Clay

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 18, 2021 - September 28, 2021

CANAM INVESTOR SERVICES, LLC

BD
CRD#: 158539
NEW YORK, NY
Past

June 10, 2021 - September 29, 2021

MODERN CAPITAL SECURITIES INC.

BD
CRD#: 130876
RALEIGH, NC
Past

June 10, 2021 - September 29, 2021

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

January 26, 2021 - October 4, 2021

ALTERNA SECURITIES, INC.

BD
CRD#: 41139
HOUSTON, TX
Past

December 21, 2018 - September 1, 2020

FCG ADVISORS, LLC

BD
CRD#: 40633
CHATHAM, NJ
Past

November 30, 2016 - June 11, 2018

GREAT VALLEY ADVISOR GROUP, LLC

RIA
CRD#: 123913
WILMINGTON, DE
Past

January 10, 2014 - June 18, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
WILMINGTON, DE
Past

February 27, 2007 - December 31, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 6, 2006 - December 18, 2006

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
SPRING HOUSE, PA
Past

March 6, 2006 - December 18, 2006

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
SPRING HOUSE, PA
Past

November 5, 2004 - March 17, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
WEST CONSHOHOCKEN, PA
Past

October 20, 2004 - November 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PHILADELPHIA, PA
Past

October 20, 2004 - November 5, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

November 25, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
PHILADELPHIA, PA
Past

August 26, 1998 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/1/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 11/15/2007
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 4
Date: 8/2/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/2/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/2/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

CI
CANAM INVESTOR SERVICES, LLC
CANAM BROKER, LLC | CANAM INVESTOR SERVICES, LLC

CRD#: 158539 / SEC#: , 8-68904

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
48 Wall Street 24th Floor, New York, NY 10005
Mailing Address
48 Wall Street 24th Floor, New York, NY 10005
Phone number
(646) 825-8710
Established
Delaware since 06/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CANAM BD HOLDINGS, LLCMANAGING MEMBER, OWNER
CALABRESE, PETER WHITNEYCHIEF EXECUTIVE OFFICER4590054
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
RIORDAN, TIFFANY ANNEFINOP AND CFO

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.

Company Information

CANAM INVESTOR SERVICES, LLC

CRD#: 158539

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