Clayton T. Brown
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.
Clayton Thomas Brown, who also goes by Clayton T Brown, Clayton Brown, was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 2011. Clayton had worked at 2 firms and has passed the Series 66, SIE and Series 7 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, 2016 - August 12, 2016
SIMMONS FIRST INVESTMENT GROUP, INC.
April 21, 2016 - August 12, 2016
SIMMONS FIRST INVESTMENT GROUP, INC.
November 26, 2014 - March 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2014 - March 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2011 - April 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2011 - April 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SIMMONS FIRST INVESTMENT GROUP, INC.
CRD#: 47439 / SEC#: 801-108161, 8-51795
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMMONS BANK | 100% OWNER | |
| CASTEEL, MARTY DALE | DIRECTOR | |
| CLEMENT, JOE WINTERS III | DIRECTOR | 1305699 |
| CURZON, WILLIAM CARY | PRESIDENT | |
| FEHLMAN, ROBERT A | DIRECTOR | |
| JOHNSON, ANGELA LEIGH | CHIEF FINANCIAL OFFICER | 5389137 |
| JOHNSON, RICHARD WAYNE | DIRECTOR | 260111 |
| TAPPAN, PHILIP ANDREW | DIRECTOR | 1197696 |
| WITT, LAURA LEA | CCO | 5699623 |
Disclosures
| Regulatory Event | 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.
