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CLAYTON L MATTHEWS

CLAYTON L. MATTHEWS

CAPFINANCIAL SECURITIES. | Financial Advisor, Advice & Wellness
Raleigh, NC 27609
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CRD#: 5856779
CLAYTON L MATTHEWS

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.
top-8-questions

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).
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®
None

Education

The Citadel

BA - Political science

Experience

Current

September 30, 2014 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 4208 Six Forks Road #1700, Raleigh, NC 27609
BD
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
RR
Series 63
Date: 6/20/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/25/2012
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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 27609

Contact information

(xxx) xxx-xxxx

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