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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

CLAY P COOK

Advisor at STONEX ADVISORS INC.

BIRMINGHAM, AL | CLANTON, AL | Montgomery, AL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 4, 2014 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STONEX ADVISORS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 1, 2014
First registration: Aug 4, 2014
Dual registered: yes, broker-dealer
Other names: CLAY PENTON COOK
IAPD individual key: 6080292

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STONEX ADVISORS INC.	Bd affiliated wealth	Feb 1, 2024	n/a	yes	CLANTON, AL\|Montgomery, AL\|BIRMINGHAM, AL	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 21, 2017	Feb 2, 2024	no	Montgomery, AL\|Enterprise, AL\|Clanton, AL\|Dothan, AL\|Clanton, AL\|Dothan, AL\|Auburn, AL\|Prattville, AL\|Millbrook, AL\|Opelika, AL\|Montgomery, AL\|Wetumpka, AL\|Dothan, AL\|Alexander City, AL\|Prattville, AL\|Saraland, AL\|Vestavia Hills, AL\|Auburn, AL	Previous registration
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Bd affiliated wealth	Dec 3, 2015	Jul 20, 2017	no	ST. LOUIS, MO\|BIRMINGHAM, AL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 4, 2014	Nov 17, 2015	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	STONEX ADVISORS INC.	Feb 2, 2024	Feb 1, 2024	-1	Firm change	Ibd to ibd
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	OSAIC INSTITUTIONS, INC.	Jul 20, 2017	Jul 21, 2017	1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Nov 17, 2015	Dec 3, 2015	16	Firm change	Other

Relationships

Registered with (4)

→ STONEX ADVISORS INC.Registered adviserregistration: current employment
Feb 1, 2024 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Jul 21, 2017 to Feb 2, 2024factForm ADV
→ BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 3, 2015 to Jul 20, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 4, 2014 to Nov 17, 2015factForm ADV

Dated events

Occurred
Feb 2, 2024
Advisor changed firm
Clay P Cook left Osaic Institutions, Inc. for Stonex Advisors Inc. (registered 2024-02-01)
Form ADVobserved 5 days ago