Jose E. Clay
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.
Jose Enrique Clay was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1988. Jose had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2011 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
February 9, 2002 - November 3, 2011
PARKLAND SECURITIES, LLC
April 10, 1998 - February 9, 2002
WALNUT STREET SECURITIES, INC.
June 11, 1997 - May 11, 1998
GUARDIAN INVESTOR SERVICES LLC
June 1, 1996 - May 9, 1997
WALNUT STREET SECURITIES, INC.
January 3, 1992 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
September 22, 1988 - November 19, 1991
LOCUST STREET SECURITIES, 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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
