Clayton Wellington James

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2009 → Present
  Prospera Financial Services Inc
  Dallas, TX

Previous Registrations

• 2005-12-16 → 2009-02-20
  Micg Investment Management, Llc
  Williamsburg, VA
  Newport News, VA
  Irvington, VA
  Newport News, VA
• 2004-04-23 → 2005-12-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport News, VA
• 2002-11-11 → 2004-04-29
  A. G. Edwards & Sons, Inc.
  Gloucester, VA

Other Businesses

MR. JAMES IS A BOARD MEMBER FOR GLOUCESTER COMMUNITY FOUNDATION LOCATED IN GLOUESTER, VA. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING MARKET HOURS. NO COMPENSATION AT THIS TIME. MR. JAMES IS A BOARD MEMBER FOR ROSEWELL FOUNDATION LOCATED IN GLOUESTER, VA. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING MARKET HOURS. NO COMPENSATION AT THIS TIME.

Exams

• S66 Uniform Combined State Law Examination
  2002-11-08