RC
Raymond P. Clifford
CAPITAL ANALYSTS
WORCESTER, MA 01609
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CRD#: 1031133
RC
Professional summary
Raymond Paul Clifford JR, AIF®, who also goes by Raymond Paul Clifford, is a registered financial advisor currently at CAPITAL ANALYSTS located in Worcester, Massachusetts and LINCOLN INVESTMENT located in Worcester, Massachusetts.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Raymond has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Paul Clifford
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CLIFFORD AND RANO INSURANCE POSITION: PRINCIPAL- INSURANCE SALES NATURE: INSURANCE SALES INVESTMENT RELATED: YES NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 10 START DATE: 04/21/2013 ADDRESS: 57 CEDAR ST., WORCESTER MA 01609 DESCRIPTION: LIFE-DISABILITY-ANNUITIES- LTC-PROPERTY AND CASUALTY RENEWALS CLIFFORD & RANO REALTY TRUST POSITION: VPres NATURE: Office building INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 57 Cedar st., Worcester MA 01609 DESCRIPTION: none SMOKESTACK INC. POSITION: shareholder NATURE: Rest. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 139 Green St, Worcester MA 01604 DESCRIPTION: No duties OLLO PIZZA LLC POSITION: Shareholder NATURE: Pizzeria INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2020 ADDRESS: 40 Millbrook St., Worcester MA 01606, United States DESCRIPTION: shareholder, related to Smokestack Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Paul Clifford JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 20, 2014 - Present
CAPITAL ANALYSTS
Office #1: 57 Cedar St, Worcester, MA 01609RIA
CRD#: 162200
WORCESTER, MA
Current
May 1, 2012 - Present
LINCOLN INVESTMENT
Office #1: 57 Cedar Street, Worcester, MA 01609RIA
BD
CRD#: 519
Worcester, MA
Past
May 2, 2012 - December 31, 2024
LINCOLN INVESTMENT
RIA
CRD#: 519
FORT WASHINGTON, PA
Past
July 21, 2004 - April 30, 2012
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
WORCESTER, MA
Past
January 1, 1994 - April 30, 2012
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
WORCESTER, MA
Past
May 20, 1993 - January 1, 1994
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past
August 21, 1990 - March 22, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 30, 1982 - May 19, 1993
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/1/2012)
RR
Colorado(5/1/2012)
RR
Connecticut(5/1/2012)
RR
Florida(5/1/2012)
RR
Georgia(5/1/2012)
RR
Hawaii(1/7/2015)
RR
Idaho(1/3/2022)
RR
Maine(5/1/2012)
RR
Maryland(5/1/2012)
RR
Massachusetts(5/1/2012)
IAR
Massachusetts(10/20/2014)
RR
New Hampshire(5/1/2012)
RR
New Jersey(5/1/2012)
RR
New York(5/1/2012)
RR
North Carolina(5/1/2012)
RR
Pennsylvania(1/7/2015)
RR
Rhode Island(5/1/2012)
RR
South Carolina(1/7/2015)
RR
Texas(5/1/2012)
RR
Utah(5/1/2012)
RR
Vermont(1/10/2020)
RR
Virginia(1/4/2019)
RR
Washington(8/7/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL ANALYSTS
CRD#: 162200Worcester, MA 01609TRUST BUT VERIFY
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