NC
Nicholas A. Clay
BCS WEALTH MANAGEMENT
JOHNSON CITY, TN 37615
Some features on this profile are disabled
CRD#: 5389805
NC
Professional summary
Nicholas Andrew Clay, AIF®, CFP®, CPWA®, who also goes by Nick Clay, is a registered financial advisor currently at BCS WEALTH MANAGEMENT, LLC located in Johnson City, Tennessee and PURSHE KAPLAN STERLING INVESTMENTS located in Johnson City, Tennessee.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Clay
Other business activities
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.
1. BCS FINANCIAL, LLC, DBA BCS WEALTH MANAGEMENT, LLC. 801 F SUNSET DRIVE, JOHNSON CITY, TN 37604. INVESTMENT RELATED. RIA FIRM/IAR REPRESENTATIVE.__ 2. INSURANCE BUSINESS; INVESTMENT RELATED; 801 F SUNSET DR STE 100 JOHNSON CITY, TN 37604; INSURANCE SALES; AGENT; START DATE: 6/1/11; APPROX 5 HRS/MO; REFER AND SELL FIXED INSURANCE PRODUCTS I.E. LIFE, LTC, DISABILITY, ETC. THROUGH MACKIE FINANCIAL GROUP__ 3. PROPERTY AND CASUALTY INSURANCE. NOT INVESTMENT RELATED. 801 F SUNSET DR. SUITE 100. JOHNSON CITY, TN 37604. REFERRING INSURANCE BUSINESS AND RECIEVING A COMISSION. REFERER. 10/2012. 5 HRS/MO. REFER VARIOUS INSURANCE.__ 4. PKS FINANCIAL SERVICES, INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 1220710/13/2010-PRESENT, FIXED INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Andrew Clay's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2015
CPWA®
Start date: 2022-06-28
Expire date: 2024-05-31
Experience
Current
October 27, 2010 - Present
BCS WEALTH MANAGEMENT, LLC
Office #1: 541 Sid Martin Road Suite A, Johnson City, TN 37615RIA
CRD#: 115489
JOHNSON CITY, TN
Current
October 13, 2010 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 801f Sunset Drive Suite 1, Johnson City, TN 37604Office #2: 1361 S. Wilcox Dr., Kingsport, TN 37660BD
CRD#: 35747
Johnson City, TN
Past
October 15, 2007 - October 4, 2010
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
KINGSPORT, TN
Past
August 29, 2007 - October 4, 2010
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
KINGSPORT, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BW
BCS WEALTH MANAGEMENT, LLC
BCS FINANCIAL, LLC | STILL WATERS FAMILY OFFICE | BCS WEALTH MANAGMENT, LLC | BCS WEALTH MANAGEMENT, LLC
CRD#: 115489 / SEC#: 801-60905
RIA
Registered Investment Advisory firm - (2/8/2002 Approved)Tennessee
Registered Investment Advisory firm - (12/1/2002 Terminated)Virginia
Registered Investment Advisory firm - (11/1/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/7/2016)
RR
Florida(3/28/2016)
RR
Georgia(3/25/2013)
RR
North Carolina(2/6/2013)
RR
Ohio(3/28/2016)
RR
South Carolina(4/2/2015)
RR
Tennessee(10/13/2010)
IAR
Tennessee(10/27/2010)
RR
Virginia(10/13/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BCS WEALTH MANAGEMENT, LLC
BCS FINANCIAL, LLC | STILL WATERS FAMILY OFFICE | BCS WEALTH MANAGMENT, LLC | BCS WEALTH MANAGEMENT, LLC
CRD#: 115489 / SEC#: 801-60905
RIA
Registered Investment Advisory firm - (2/8/2002 Approved)Tennessee
Registered Investment Advisory firm - (12/1/2002 Terminated)Virginia
Registered Investment Advisory firm - (11/1/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
541 Sid Martin Road Suite A, Johnson City, TN 37615
Mailing Address
541 Sid Martin Road Suite A, Johnson City, TN 37615
Phone number
(423) 283-9821
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,685 |
| AUM (Assets Under Management) | $ 811,578,500 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 08/08/2023 | ||
| 08/29/2022 |
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.
