Claire M. Grayson
Professional Summary
Claire M. Grayson, who also goes by Claire M. Spooner, Claire Marion Spooner, is a registered financial advisor currently at NEWEDGE SECURITIES, LLC located in Hampton Falls, New Hampshire. Claire is registered as a RR (Registered Representative) and started their career in finance in 2000. Claire has worked at 2 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Claire M. Spooner, Claire Marion Spooner
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
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.
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
Current Firm
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES
Contact Information
Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368Mailing Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368Phone Number
(888) 271-5273Established
Pennsylvania since 12/14/1981Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | — |
| BANCO, JOSEPH FRANKLIN JR | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| JESSE, JAMES WILLIAM JR. | DIRECTOR | 4244855 |
| SMITH, KYLE PETER | PRESIDENT AND DIRECTOR | 2142563 |
| TIMMERMAN, ERIN NICOLE | GENERAL COUNSEL | 6387118 |
Disclosures
Regulatory Event
9Civil Event
2Arbitration
4Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
State Registrations and Notice Filings
(1/29/2007)
(1/5/2017)
(9/21/2016)
(1/29/2007)
(10/14/2008)
(1/29/2007)
(10/30/2007)
(1/29/2007)
(12/17/2015)
(6/5/2009)
(1/29/2007)
(1/29/2007)
(6/25/2014)
(1/29/2007)
(10/14/2008)
(9/10/2024)
(11/19/2009)
(10/14/2008)
(1/29/2007)
(1/29/2007)
(10/14/2008)
(1/29/2007)
(3/10/2011)
(10/14/2009)
(1/29/2007)
(9/10/2024)
(2/12/2009)
(1/29/2007)
(3/30/2012)
(1/29/2007)
(1/30/2007)
(6/8/2009)
(4/24/2009)
(1/29/2007)
(10/14/2008)
(1/29/2007)
(10/28/2010)
(9/19/2011)
(10/30/2007)
(5/22/2018)
(1/29/2007)
(6/18/2009)
(1/29/2007)
(10/13/2021)
(1/29/2007)
(8/28/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2001SRO Registrations
SRO Registrations
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Claire M. Grayson's CRS (Customer Relationship Summary).
Similar Advisors
NVEST FINANCIAL, LLC
MORGAN STANLEY