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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-04-29
  • NY RA
    APPROVED
    Since 2025-04-29

Branch Locations

90 Park Ave 17Th Fl, New York, NY 10016 • 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
Edward Jones St Louis MO 07/2016 11/2016
Pruco Securities, Llc Paramus NJ 12/2016 02/2017
Securian Financial Serivces Inc Martinsville NJ 08/2017 10/2020
Allied Wealth Partners Martinsville NJ 08/2017 10/2020
Buy Rite Liquors Bound Brook NJ 03/2017 09/2017
Securian Financial Services Inc St. Paul MN 08/2017 09/2017
Barnum Financial Group Elmsford NY 10/2020 03/2021
Mml Investors Services Elmsford NY 10/2020 03/2021
Fidelity Investments Bridgewater NJ 03/2021 08/2024
Massmutual Life Insurance Co New York NY 04/2025 Present
Mml Investors Services, Llc New York NY 04/2025 Present
Fifth Avenue Financial New York NY 04/2025 Present
Unemployed Jersey City NJ 09/2024 04/2025
  • 07/2016 → 11/2016
    Edward Jones
    St Louis, MO
  • 12/2016 → 02/2017
    Pruco Securities, Llc
    Paramus, NJ
  • 08/2017 → 10/2020
    Securian Financial Serivces Inc
    Martinsville, NJ
  • 08/2017 → 10/2020
    Allied Wealth Partners
    Martinsville, NJ
  • 03/2017 → 09/2017
    Buy Rite Liquors
    Bound Brook, NJ
  • 08/2017 → 09/2017
    Securian Financial Services Inc
    St. Paul, MN
  • 10/2020 → 03/2021
    Barnum Financial Group
    Elmsford, NY
  • 10/2020 → 03/2021
    Mml Investors Services
    Elmsford, NY
  • 03/2021 → 08/2024
    Fidelity Investments
    Bridgewater, NJ
  • 04/2025 → Present
    Massmutual Life Insurance Co
    New York, NY
  • 04/2025 → Present
    New York, NY
  • 04/2025 → Present
    Fifth Avenue Financial
    New York, NY
  • 09/2024 → 04/2025
    Unemployed
    Jersey City, NJ
Previous Registrations
  • 2021-05-19 → 2024-09-16
    Fidelity Personal And Workplace Advisors
    Bridgewater, NJ
  • 2017-09-11 → 2020-10-28
    Securian Financial Services, Inc.
    Martinsville, NJ
Other Businesses

NAME: CLAUDE CLAY/ FIFTH AVENUE FINANCIAL, INV REL: Y, ADD: 90 PARK AVE., 17TH FL, NEW YORK, NY, 10016 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 04/21/2025, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, HEALTH

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-19
S63 Uniform Securities Agent State Law Examination 2017-02-03
  • S66 Uniform Combined State Law Examination
    2017-06-19
  • S63 Uniform Securities Agent State Law Examination
    2017-02-03
Other Names
  • Claude Clay
  • Claude Clay

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