Clayton Douglas Barton
Professional Summary
Clayton Douglas Barton, who also goes by Clayton Barton, is a registered financial advisor currently at EQUITABLE DISTRIBUTORS, LLC located in New York, New York. Clayton is registered as a RR (Registered Representative) and started their career in finance in 2006. Clayton has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Clayton Douglas Barton, Clayton Barton
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC
Contact Information
Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262Mailing Address
1345 Avenue Of The Americas, New York, NY 10105Phone Number
(212) 314-2137Established
Delaware since 01/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | — |
| CANNON, CHRISTIAN JAMES | GENERAL COUNSEL | 2783948 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| LARUSSA, CHRISTOPHER JOHN | CHIEF COMPLIANCE OFFICER | 4728315 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2006About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Clayton Douglas Barton's CRS (Customer Relationship Summary).
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