Chad M. Clay

GLASS CITY CAPITAL MANAGEMENT

Maumee, OH 43537

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CRD#: 6973099

Professional summary

Chad Michael Clay, who also goes by Chad Clay, is a registered financial advisor currently at GLASS CITY CAPITAL MANAGEMENT, LLC located in Maumee, Ohio.

Chad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Chad has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chad 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Michael 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®

None

Experience

Current

August 14, 2018 - Present

GLASS CITY CAPITAL MANAGEMENT, LLC

Office #1: 1715 Indian Wood Circle Suite 200, Maumee, OH 43537

RIA

CRD#: 297327

Maumee, OH

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(8/15/2018)

IAR

Ohio
(8/20/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/2017

Uniform Investment Adviser Law Examination

Current Firm

GLASS CITY CAPITAL MANAGEMENT, LLC

CRD#: 297327 / SEC#:

Illinois

Registered Investment Advisory firm - (12/31/2019 Terminated)

Michigan

Registered Investment Advisory firm - (8/15/2018 Approved)

Ohio

Registered Investment Advisory firm - (8/20/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1715 Indian Wood Circle Suite 200, Maumee, OH 43537

Mailing Address

Phone number

(419) 787-3222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 4,462,296

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.

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Chad M. Clay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Michael Clay's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLASS CITY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2017

Current Firm

GLASS CITY CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLASS CITY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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