William Thomas Clay Iv
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.
William Thomas Clay Iv, who also goes by Will Clay, William Thomas Clay IV, was a registered financial professional .
William Thomas is a previously registered financial professional and started their career in finance in 1976. William Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 5, PC, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2011 - August 4, 2015
ANZ SECURITIES, INC.
November 1, 2010 - December 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2006 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
May 21, 2004 - April 26, 2006
J.P. MORGAN SECURITIES INC.
May 1, 2000 - December 31, 2002
CITIGROUP GLOBAL MARKETS INC.
June 3, 1998 - May 1, 2000
SCHRODER & CO. INC.
January 3, 1995 - March 6, 1995
SBC WARBURG, INC.
August 16, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 1, 1993 - August 17, 1993
SBC WARBURG, INC.
July 6, 1992 - February 10, 1993
HSBC SECURITIES (USA) INC.
April 9, 1990 - February 1, 1991
CREDIT SUISSE SECURITIES (USA) LLC
November 15, 1982 - March 15, 1990
SALOMON BROTHERS INC.
November 6, 1980 - November 23, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 15, 1980
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 6/22/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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