Eric O. Clay
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.
Eric Ozzie Clay was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2015 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 10, 2015 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2011 - April 13, 2015
TRUIST INVESTMENT SERVICES, INC.
December 9, 2010 - April 13, 2015
TRUIST INVESTMENT SERVICES, INC.
August 5, 2004 - May 17, 2005
TRUIST INVESTMENT SERVICES, INC.
April 12, 2004 - May 17, 2005
TRUIST INVESTMENT SERVICES, INC.
March 6, 2003 - April 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2003 - April 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - March 11, 2003
QUICK & REILLY, INC.
September 9, 2002 - March 11, 2003
QUICK & REILLY, INC.
August 23, 2000 - September 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2000 - September 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1998 - November 1, 1999
WORLDCO, L.L.C.
August 10, 1998 - October 9, 1998
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
