CC
Clay H. Crothers
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CRD#: 7175547
CC
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.
Clay Hamilton Crothers was a registered financial professional .
Clay is a previously registered financial professional and started their career in finance in 2019. Clay had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
(1)Name of Business: Clay Crothers Wealth Team Address: 12 Cadillac Drive, Brentwood, TN, 37027, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: Yes Start Date: 04/21/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: financial advisor (2)Name of Business: SageSpring Wealth Partners Address: 12 Cadillac Drive, Brentwood, TN, 37027, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 11/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor (3)Name of Business: Southwestern Investment Advisory Services Address: 12 Cadillac Dr Ste 100, Brentwood, TN, 37027, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 09/13/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor for Raymond James / Southwestern Investment Advisory Services (4)Name of Business: Southwestern Investment Group Address: 12 Cadillac Dr Ste 100, Brentwood, TN, 37027, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/13/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor for Raymond James / Southwestern Investment Group
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 15, 2020 - December 14, 2023
SAGESPRING WEALTH PARTNERS
RIA
CRD#: 283515
Brent, TN
Past
October 31, 2019 - February 24, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Brentwood, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP
CRD#: 283515 / SEC#: 801-107971
RIA
Registered Investment Advisory firm - (7/6/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP
CRD#: 283515 / SEC#: 801-107971
RIA
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Contact information
Main Address
801 Crescent Centre Drive Suite 600, Franklin, TN 37067
Mailing Address
Phone number
(615) 861-6100
Established
Firm type
Fiscal year end
# of Employees
180
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,811 |
| AUM (Assets Under Management) | $ 6,485,071,326 |
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.
