Harold M. Clay
Professional summary
Harold Martin Clay, who also goes by Harold M Clay, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Austin, Texas and FROST BROKERAGE SERVICES, INC. located in Austin, Texas.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Harold has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harold Martin Clay's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 5656 Bee Caves Rd Bldg A, Austin, TX 78746February 26, 2021 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 5656 Bee Caves Rd, Austin, TX 78746Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2024)
(10/30/2024)
(10/30/2024)
(10/30/2024)
(10/30/2024)
(10/30/2024)
(10/30/2024)
(3/30/2021)
(5/19/2022)
(10/30/2024)
Exams
Series 7TO
Date: 2/26/2021
General Securities Representative ExaminationFINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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