CLAYTON L. MATTHEWS
CAPFINANCIAL SECURITIES. | Financial Advisor, Advice & Wellness
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 5856779
Professional summary
CLAYTON L MATTHEWS, who also goes by Clay Matthews, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Raleigh, North Carolina.
CLAYTON is registered as a RR (Registered Representative) and started their career in finance in 2012. CLAYTON has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Biography
In his role as an advice and wellness wealth advisor within the firms Institutional Services Group, Clay works with retirement plan participants and provides wealth management advice for plan sponsors. Prior to joining CAPTRUST in 2014, Clay was a financial representative for Northwestern Mutual. Before that he founded Buckwalker Properties LLC and served as broker in charge. He earned his Bachelor of Arts degree in political science from The Citadel.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Clay Matthews
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view CLAYTON L MATTHEWS'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®
NoneEducation
The Citadel
BA - Political science
Experience
Current
September 30, 2014 - Present
CAPFINANCIAL SECURITIES, LLC.
Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609BD
CRD#: 126291
Raleigh, NC
Past
April 26, 2012 - September 19, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
RALEIGH, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
North Carolina(2/5/2021)
RR
Virginia(2/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC
CRD#: 126291 / SEC#: , 8-65870
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
CAPFINANCIAL SECURITIES, LLC.
Financial Advisor, Advice & WellnessCRD#: 126291Raleigh, NC 27609TRUST BUT VERIFY
Monitor CLAYTON MATTHEWS
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
