Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clay? Claim Your ProfileClay Cale Rucker is a financial advisor with over 30 years of experience in the financial services industry. Clay is currently registered with Raymond James & Associates, Inc. and is a Registered Representative (Series 7 & 63), a Registered Investment Advisor (Series 65) and has passed the Securities Industry Essentials (SIE) exam. Clay has also held previous positions at several other firms including A. G. Edwards & Sons, Inc., Alex. Brown & Sons Incorporated, Bear, Stearns & Co. Inc., Lehman Brothers Inc., and The Robinson-Humphrey Company Inc. Clay is a specialist in providing financial and investment advice to individuals, businesses, and institutions. Clay is licensed to provide services in Alabama, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Idaho, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, South Carolina, Texas, Virginia, and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
GA
10/09/2014 - Present
Raymond James & Associates, Inc. (ATLANTA GA)
MO
10/18/1994 - 06/27/1997
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
09/30/1992 - 10/14/1994
ALEX. BROWN & SONS INCORPORATED
NY
05/13/1991 - 09/22/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
11/21/1988 - 05/23/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/19/1985 - 11/25/1988
THE ROBINSON-HUMPHREY COMPANY INC.
IA
Issued 06/24/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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