Linda L. Cleveland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Lanham Cleveland, who also goes by Linda L Cleveland, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1983. Linda had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2011 - October 3, 2013
NFSG CORPORATION
June 15, 2011 - October 3, 2013
NEWBRIDGE SECURITIES CORPORATION
July 22, 2010 - November 5, 2010
MORGAN STANLEY
July 21, 2010 - November 5, 2010
MORGAN STANLEY
October 20, 2008 - November 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2008 - November 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2006 - October 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2006 - October 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2004 - July 18, 2005
EQUITABLE ADVISORS, LLC
August 21, 2002 - July 18, 2005
EQUITABLE ADVISORS, LLC
August 15, 2001 - June 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2000 - August 13, 2001
HIGH MARK SECURITIES, INC.
December 17, 1999 - April 3, 2001
PROTECTIVE GROUP SECURITIES CORPORATION
July 20, 1983 - September 2, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
