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Clay Harriss Womack

CRD# 4095147·Registered 2001 - 2003
Previously Registered: Being a previously registered professional could mean that Clay 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.

Professional Summary

Clay Harriss Womack was a registered financial advisor. Clay was a previously registered financial professional and started their career in finance 2001 - 2003. Clay had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

COMPLETE TRADE·CRD# 104042
BD
Austin, TX
June 28, 2002 - January 24, 2003
DIRECT CAPITAL SECURITIES, INC.·CRD# 29639
BD
Austin, TX
March 23, 2001 - September 15, 2009

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Current Firm

CT
COMPLETE TRADE

ACCESS TRADING, LLC | CONNECTTRADE | COMPLETE TRADE INVESTMENTS, LLC | COMPLETE TRADE INVESTMENTS | COMPLETE TRADE

CRD#: 104042 / SEC#: 8-52500
BD
Terminated by SEC on 03/25/2003

Contact Information

Established

Texas since 12/08/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COMPLETE TRADE NETWORKS L.L.C.SHAREHOLDER—
WOMACK, CLAY HARRISSPRESIDENT/CEO4095147
DAYLONG, ROSANNE LORRAINE MRS.CCO, ASO, AO2768132
MCCOWN II, JACK E.PENDING FINOP4062700
WILKINSON, MATHEWS CASONMANAGER/SROP/CROP/CHIEF SUPERVORY OFFICER2296865

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

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CRS (Client Relationship Summary)

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

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