Joseph David Clay

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 12/2014 → 09/2021
  Tiaa
  Louisville, KY
• 12/2014 → 09/2021
  Tiaa-Cref Individual & Institutional Services, Llc
  Louisville, KY
• 07/2022 → 03/2025
  Pnc Investments Llc
  Louisville, KY
• 09/2021 → 07/2022
  Stock Yards Bank And Trust
  Louisville, KY
• 01/2025 → Present
  Joseph Clay - Sole Proprietor
  Pewee Valley, KY
• 03/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 03/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2022-07-21 → 2025-03-24
  Pnc Wealth Management Llc
  Louisville, KY
  Louisville, KY
  Louisville, KY
  Louisville, KY
  Louisville, KY
• 2015-03-28 → 2021-09-23
  Tiaa-Cref Individual & Institutional Services, Llc
  Louisville, KY

Other Businesses

1. NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING START DATE: 03/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING 2. NAME OF OTHER BUSINESS: JOSEPH CLAY - SOLE PROPRIETOR INVESTMENT RELATED: NO ADDRESS: PEWEE VALLEY, KY NATURE OF BUSINESS: REAL ESTATE RENTAL PROPERTY START DATE: 07/2025 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: 2 RENTAL PROPERTIES 3. NAME OF OTHER BUSINESS: JOSEPH CLAY SOLE PROPRIETORSHIP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SOLE PROPRIETORSHIP START DATE: 4/14/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CREATE SOLE PROPRIETORSHIP IN ORDER TO ACQUIRE HEALTH INSURANCE.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-03-28
• S63 Uniform Securities Agent State Law Examination
  2008-08-01

Other Names

• Joe Clay
• Joseph D Clay