Nathaniel R. Clay
Professional summary
Nathaniel Royce Clay was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nathaniel is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Nathaniel had worked at 4 firms, which includes LAIDLAW & COMPANY (UK) LTD., NATIONAL SECURITIES CORPORATION, KUHNS BROTHERS SECURITIES CORPORATION, CASIMIR CAPITAL L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - February 7, 2019
LAIDLAW & COMPANY (UK) LTD.
July 31, 2008 - November 12, 2015
NATIONAL SECURITIES CORPORATION
November 25, 2002 - March 24, 2003
KUHNS BROTHERS SECURITIES CORPORATION
May 10, 2002 - August 26, 2008
CASIMIR CAPITAL L.P.
State Registrations and Notice Filings
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Exams
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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