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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Clay is a financial advisor based in San Jose, California. John has been in the industry since 1992 and is currently affiliated with Morgan Stanley. John has a broad range of experience and holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE exam. John has previous experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc. and Smith Barney Inc. In addition to his financial advisory work, John is also a partner in Build Your Own Table, an entertainment company. John has been registered with the Securities and Exchange Commission (SEC) since 2009.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (San Jose CA)
DC
08/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
03/27/1997 - 09/05/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
CT
05/19/1995 - 04/03/1997
ADVEST, INC. (HARTFORD CT)
NY
04/20/1992 - 05/25/1995
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 11/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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