Roy S. Clauss
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.
Roy Stuart Clauss was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1972. Roy had worked at 11 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2014 - August 28, 2014
SURYA CAPITALE SECURITIES LLC
September 20, 2012 - March 14, 2014
FURTHER LANE SECURITIES, L.P.
April 20, 2011 - June 28, 2012
COINBASE SECURITIES, INC.
December 17, 2010 - December 31, 2011
MORPHEUS SECURITIES LLC
July 12, 2006 - January 5, 2009
SEACAP SECURITIES LLC
April 17, 2003 - July 3, 2006
SEABURY SECURITIES LLC
June 29, 1999 - October 5, 1999
GLEACHER PARTNERS LLC
October 2, 1998 - June 29, 1999
NATWEST FINANCE INC.
May 15, 1992 - March 21, 1997
LEHMAN BROTHERS INC.
April 27, 1985 - April 16, 1992
SALOMON BROTHERS INC.
December 11, 1972 - October 10, 1974
CITIGROUP GLOBAL MARKETS INC.
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
Series 1
Date: 12/4/1972
Registered Representative ExaminationCurrent Firm
SURYA CAPITALE SECURITIES LLC
CRD#: 159173 / SEC#: , 8-68968
Contact information
FINRA licenses (5 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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