Kathy A. Clay
Professional summary
Kathy Ann Clay, who also goes by Kathy Ann Clay Mrs., Kathy Ann Reid Ms., Kathy A Richmond Ms., Kathy Ann Richmond Ms., is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Virginia Beach, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Williamsburg, Virginia.
Kathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kathy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathy Ann Clay's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2022 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 948 Laskin Rd Fl 3, Virginia Beach, VA 23451September 15, 2022 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 4801 Courthouse St Ste 100, Williamsburg, VA 23188Office #2: 948 Laskin Rd Ste 300, Virginia Beach, VA 23451Office #3: 711 First Colonial Rd, Virginia Beach, VA 23451Office #4: 3334 Virginia Beach Blvd, Virginia Beach, VA 23452Office #5: 150 W Main St Ste 1400, Norfolk, VA 23510September 28, 2005 - September 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2005 - September 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2003 - April 29, 2005
IDS LIFE INSURANCE COMPANY
September 16, 2003 - April 29, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
November 8, 2002 - August 26, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
