Albert N. Claxton
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.
Albert Newton Claxton was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1970. Albert had worked at 10 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 1990 - June 11, 2012
INVESTACORP, INC.
March 27, 1990 - July 5, 1990
TRUSTBANK SECURITIES BROKERAGE, INC.
October 15, 1987 - April 7, 1990
FIRST UNION CAPITAL MARKETS CORP.
August 18, 1981 - October 28, 1987
LEHMAN BROTHERS INC.
January 22, 1981 - October 12, 1981
JOHN MUIR & CO.
April 10, 1979 - February 6, 1981
KUHNS BROTHERS & LAIDLAW, INC.
September 7, 1976 - May 17, 1979
FIRST GEORGETOWN SECURITIES, INC.
August 14, 1975 - September 18, 1976
LAIDLAW, MARTIN & MOYSEY, INC.
March 3, 1972 - October 4, 1974
SIMCO INVESTMENTS
May 21, 1970 - February 28, 1972
C. H. WAGNER & CO., 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
PC
Date: 1/1/1981
AMEX Put and Call ExamSeries 000
Date: 5/1/1970
General Securities Principal ExaminationSeries 1
Date: 2/12/1969
Registered Representative ExaminationCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
