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CT

Clyde M. Thornburg

Some features on this profile are disabled
CRD#: 1065161
CT

Professional summary

Clyde Marshall Thornburg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Clyde is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Clyde had worked at 7 firms, which includes IFS SECURITIES, WOODBURY FINANCIAL SERVICES INC., NEXT FINANCIAL GROUP INC., SII INVESTMENTS INC., SENTRA SECURITIES CORPORATION, SHIELDS & COMPANY, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clude Marshall Thornburg

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 20, 2010 - November 3, 2010

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

January 5, 2010 - June 28, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
SARASOTA, FL
Past

December 22, 2009 - June 28, 2010

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
SARASOTA, FL
Past

August 23, 2007 - December 23, 2009

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
SARASOTA, FL
Past

August 23, 2007 - December 23, 2009

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
SARASOTA, FL
Past

June 28, 2005 - September 21, 2007

SII INVESTMENTS, INC.

BD
CRD#: 2225
SARASOTA, FL
Past

June 23, 2005 - September 21, 2007

SII INVESTMENTS, INC.

RIA
CRD#: 2225
SARASOTA, FL
Past

October 19, 2000 - June 24, 2005

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
SARASOTA, FL
Past

October 17, 2000 - June 24, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

August 7, 1997 - November 14, 2000

SHIELDS & COMPANY

BD
CRD#: 11053
NEW YORK, NY
Past

September 13, 1982 - June 10, 1997

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/22/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/8/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 26
Date: 2/6/1997
Investment Company Products/Variable Contracts Principal Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

Red Flags

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Company Information

IFS SECURITIES

CRD#: 40375

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