Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Utah-based Hornor Townsend & Kent broker Clay Erickson, also known as Clay Elder, has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Erickson (CRD# 1583644).
Clay Erickson has spent 25 years in the securities industry and was most recently registered with Hornor Townsend & Kent in Salt Lake City, Utah (2011-2016). Previous registrations include Equity Services in Salt Lake City, Utah (1999-2011); 1717 Capital Management Company in Newark, Delaware (1997-1999); WS Griffith & Company in Hartford, Connecticut (1993-1997); Secura Investments in Appleton, Wisconsin (1996); and Phoenix Equity Planning Corporation in Hartford, Connecticut (1991-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 24, 1991, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1991. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints, one pending customer complaint, and one FINRA sanction, and he was discharged from his former employer in connection to alleged rule violations.