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Inactive

Clare Raleigh

Mariner

San Jose, CA

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-12-19
TX RA APPROVED 2022-12-19
  • CA RA
    APPROVED
    Since 2022-12-19
  • TX RA
    APPROVED
    Since 2022-12-19

Branch Locations

99 Almaden Blvd Suite 730, San Jose, CA 95113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ramond James Financial Services, Inc San Jose CA 08/2009 09/2017
Hayes Financial, Inc. San Jose CA 09/2017 12/2022
Mariner Wealth Advisors San Jose CA 12/2022 Present
  • 08/2009 → 09/2017
    Ramond James Financial Services, Inc
    San Jose, CA
  • 09/2017 → 12/2022
    Hayes Financial, Inc.
    San Jose, CA
  • 12/2022 → Present
    Mariner Wealth Advisors
    San Jose, CA
Previous Registrations
  • 2017-09-07 → 2023-02-07
    Hayes Financial, Inc.
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-04
S63 Uniform Securities Agent State Law Examination 2010-02-11
  • S65 Uniform Investment Adviser Law Examination
    2018-05-04
  • S63 Uniform Securities Agent State Law Examination
    2010-02-11
Other Names
  • Clare Chang

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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