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Bryan L. Claggett

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CRD#: 820866
BC

Professional summary

Bryan Lee Claggett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bryan is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Bryan had worked at 10 firms, which includes RIDGEWAY & CONGER INC., FIRST MIDWEST SECURITIES INC., STONEX SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., BIRCHTREE FINANCIAL SERVICES LLC, ROBERT THOMAS SECURITIES INC, RAYMOND JAMES FINANCIAL SERVICES INC., SOUTHLAND SECURITIES INC., A. G. EDWARDS & SONS INC., EDWARD JONES.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

April 7, 2005 - September 13, 2006

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
NEW WOODSTOCK, NY
Past

May 23, 2003 - April 1, 2005

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

May 15, 2002 - February 18, 2003

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

January 11, 1999 - May 15, 2002

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

September 9, 1992 - January 22, 1999

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

July 8, 1987 - June 25, 1992

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

March 3, 1981 - June 16, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Past

February 21, 1979 - March 23, 1981

SOUTHLAND SECURITIES, INC.

BD
CRD#: 7493
Past

December 19, 1977 - February 26, 1979

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

April 14, 1976 - January 22, 1978

EDWARD JONES

BD
CRD#: 250

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
RR
Series 63
Date: 5/2/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1981
General Securities Principal Examination

Current Firm

R&
RIDGEWAY & CONGER, INC.
AMES INVESTMENT & RETIREMENT | WARD WEALTH MANAGEMENT | UPSTATE FINANCIAL CONSULTANTS | TRADE EAGLE CORPORATION | STRONGHEART FINANCIAL | STRATUM FINANCIAL | STRATEGIC FINANCIAL PLANNING | SK CAPITAL MANAGEMENT CONULTANTS, INC. | SILVASOFT | RUSSO INVESTMENTS LLC. | ROBERT VANCE AND ASSOCIATES | RIDGEWAY & CONGER, INC. | PAIGEMICHAEL LLC | OAK FINANCIAL & RETIREMENT PLANNING INC. | MBS SOURCE | MAHTANI FINANCIAL GROUP | LEGACY WEALTH MANAGEMENT, LLC. | INVESTMENTS CONCEPTS | FAUBEL FINANCIAL GROUP | FAIRFIELD FINANCIAL GROUP INC | DISNEY INVESTMENT CO. | DAVIDOW FINANCIAL | BRISARD & BRISARD, INC. | BMB TRADING INC.

CRD#: 113055 / SEC#: , 8-53291

BD
Terminated by SEC on 07/10/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/02/2001
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLAYTON LOWELL & CONGER, INC.OWNER
GARBER, LEIGH MCCOBBPRESIDENT, CEO2768572
GARBER, LEIGH MCCOBBCCO/COO
GARBER, LEIGH MCCOBBMUNI. PRIN./VP/SEC/TREAS/ROSFP2768572

Disclosures

Regulatory Event8
Arbitration2

Red Flags

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Company Information

RIDGEWAY & CONGER, INC.

CRD#: 113055

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