Jim H. Clary
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.
Jim Hardy Clary was a registered financial advisor .
Jim is a previously registered financial advisor and started their career in finance in 1979. Jim had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 53, Series 28, Series 4 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
January 12, 2009 - January 13, 2010
WORTH FINANCIAL GROUP INC.
January 6, 2009 - January 13, 2010
WORTH FINANCIAL GROUP INC.
January 3, 1996 - October 31, 2008
CLARY SECURITIES, L.L.C.
August 8, 1995 - July 2, 2009
ENVIT CAPITAL PRIVATE WEALTH MANAGEMENT, LLC
July 15, 1993 - December 31, 1995
D.E. FREY & COMPANY, INC.
March 9, 1988 - July 23, 1993
MORGAN STANLEY DW INC.
March 6, 1985 - February 19, 1988
THOMSON MCKINNON SECURITIES INC.
October 25, 1983 - January 28, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1979 - September 16, 1983
CONTISECURITIES, 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 1
Date: 8/24/1979
Registered Representative ExaminationSeries 28
Date: 11/6/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WORTH FINANCIAL GROUP INC.
CRD#: 13478 / SEC#: , 8-29827
Contact information
FINRA licenses (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 2,539,237 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
