Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KATHY ANN CLAY
KATHY ANN CLAY MRS., KATHY ANN REID MS., KATHY A RICHMOND MS., KATHY ANN RICHMOND MS.
CRD#: 4086961
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 948 LASKIN RD
STE 300
VIRGINIA BEACH, VA 23451
STE 300
VIRGINIA BEACH, VA 23451
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 150 W MAIN ST
STE 1400
NORFOLK, VA 23510
STE 1400
NORFOLK, VA 23510
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Arizona 9/15/2022
B
Nebraska 9/15/2022
B
California 9/15/2022
B
Nevada 9/15/2022
B
Colorado 9/15/2022
B
New Hampshire 9/15/2022
B
Connecticut 9/15/2022
B
New Jersey 9/15/2022
B
Delaware 9/15/2022
B
New Mexico 9/15/2022
B
District of Columbia 9/15/2022
B
New York 9/15/2022
B
Florida 9/15/2022
B
North Carolina 9/15/2022
B
Georgia 9/15/2022
B
Ohio 9/15/2022
B
Hawaii 9/15/2022
B
Oregon 9/15/2022
B
Illinois 9/15/2022
B
Pennsylvania 9/15/2022
B
Indiana 9/15/2022
B
South Carolina 9/15/2022
B
Kansas 9/15/2022
B
South Dakota 9/15/2022
B
Kentucky 9/15/2022
B
Tennessee 9/15/2022
B
Louisiana 1/31/2025
B
Texas 9/15/2022
IA
Louisiana 3/5/2025
IA
Texas 2/2/2023
B
Maine 9/15/2022
B
Utah 9/15/2022
B
Maryland 9/15/2022
B
Virgin Islands 9/15/2022
B
Massachusetts 9/15/2022
B
Virginia 9/15/2022
B
Michigan 9/15/2022
IA
Virginia 9/15/2022
B
Minnesota 9/15/2022
B
Washington 9/15/2022
B
Mississippi 9/15/2022
B
Wisconsin 9/15/2022
B
Missouri 9/15/2022
B
Wyoming 9/15/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
Registered with this firm since 9/15/2022
IA
Registered with this firm since 9/15/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/28/2005 - 09/19/2022 | NORFOLK, VA | |
B | 09/28/2005 - 09/19/2022 | NORFOLK, VA | |
B | 09/16/2003 - 04/29/2005 | MINNEAPOLIS, MN | |
B | 09/16/2003 - 04/29/2005 | MINNEAPOLIS, MN | |
B | 11/08/2002 - 08/26/2003 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.