Clayton A. Pelloat
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 Alan Pelloat was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 2012. Clayton had worked at 4 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2012 - April 22, 2013
TIME EQUITIES SECURITIES LLC
June 27, 2012 - May 6, 2013
CIG SECURITIES
May 4, 2012 - April 23, 2013
RCX CAPITAL GROUP, LLC
April 18, 2012 - April 19, 2013
HITHERLANE PARTNERS, LLC
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
Series 28
Date: 4/17/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TIME EQUITIES SECURITIES LLC
CRD#: 114422 / SEC#: , 8-53420
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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