Stephen P. Clifford
Professional summary
Stephen Philip Clifford, who also goes by Steve Clifford, is a registered financial professional currently at CAROFIN, LLC located in Brevard, North Carolina.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 9 firms and has passed the Series 63, Series 82TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Philip Clifford's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2023 - Present
CAROFIN, LLC
Office #1: 100 Elks Club Rd., Brevard, NC 28712December 11, 2004 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
November 13, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
December 21, 2000 - November 20, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 3, 2000 - December 31, 2000
NATIONWIDE SECURITIES, LLC
September 1, 1999 - March 17, 2000
GUARDIAN INVESTOR SERVICES LLC
June 20, 1996 - March 1, 1999
TRANSAMERICA CAPITAL, LLC
February 20, 1991 - March 29, 1996
TRANSAMERICA CAPITAL, LLC
May 1, 1990 - February 11, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
October 30, 1985 - March 14, 1990
TRANSAMERICA CAPITAL, LLC
January 10, 1983 - July 20, 1984
THE GREAT-WEST LIFE ASSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/18/2023)
(5/30/2024)
Exams
Series 82TO
Date: 10/21/2023
Limited Representative-Private Securities OfferingsFINRA
Current Firm
CAROFIN, LLC
CRD#: 298717 / SEC#: , 8-70224
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | |
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | |
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 |
| MILHAUPT, PETER STUART | MANAGER | 728310 |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
Red Flags
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