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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

CLAYTON WELLINGTON JAMES

Advisor at PROSPERA FINANCIAL SERVICES, INC.

Williamsburg, VA

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Search this name across graphsid dfx:ria:db6de025-e611-27fa-f24f-ae7caeabd6d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 11, 2002 to Sep 14, 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: PROSPERA FINANCIAL SERVICES, 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: Nov 8, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 8, 2002
First registration: Nov 11, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4565333

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
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Feb 20, 2009	n/a	yes	Williamsburg, VA	Current employment
MICG INVESTMENT MANAGEMENT, LLC	n/a	Dec 16, 2005	Feb 20, 2009	no	WILLIAMSBURG, VA\|NEWPORT NEWS, VA\|IRVINGTON, VA\|NEWPORT NEWS, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 23, 2004	Dec 20, 2005	no	NEWPORT NEWS, VA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Nov 11, 2002	Apr 29, 2004	no	GLOUCESTER, VA	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
MICG INVESTMENT MANAGEMENT, LLC	PROSPERA FINANCIAL SERVICES, INC.	Feb 20, 2009	Feb 20, 2009	0	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MICG INVESTMENT MANAGEMENT, LLC	Dec 20, 2005	Dec 16, 2005	-4	Firm change	Other
A. G. EDWARDS & SONS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 29, 2004	Apr 23, 2004	-6	Firm change	Other

Relationships

Registered with (4)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Feb 20, 2009 to presentfactForm ADV
→ MICG INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 16, 2005 to Feb 20, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 23, 2004 to Dec 20, 2005factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Nov 11, 2002 to Apr 29, 2004factForm ADV

Dated events

No dated event names this entity yet.