David R. Clifton
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.
David Russell Clifton, who also goes by David Russell Hoffman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 15 firms and has passed the Series 63, 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
September 2, 1998 - August 20, 1999
MORGAN SPAULDING, INC.
May 9, 1997 - November 13, 1997
EISNER SECURITIES, INC.
February 14, 1996 - November 26, 1996
LORD & KENDYLL INVESTMENTS, INC.
March 16, 1995 - May 10, 1995
FIRST ASSET MANAGEMENT, INC.
January 25, 1995 - April 5, 1995
H.J. MEYERS & CO., INC.
September 16, 1992 - January 24, 1995
FIRST ASSET MANAGEMENT, INC.
July 3, 1991 - October 6, 1992
CHELSEA STREET SECURITIES, INC.
February 15, 1991 - June 27, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 15, 1991 - June 27, 1991
EQUITABLE ADVISORS, LLC
July 25, 1990 - November 30, 1990
ROYCE PARK INVESTMENTS, INC.
July 3, 1990 - July 26, 1990
THE STUART-JAMES COMPANY, INCORPORATED
February 7, 1990 - February 22, 1990
THE STUART-JAMES COMPANY, INCORPORATED
October 25, 1989 - January 25, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
August 14, 1989 - October 4, 1989
AESIR SECURITIES, INC.
May 23, 1989 - August 23, 1989
MORGAN STANLEY DW INC.
December 21, 1984 - May 1, 1989
THE STUART-JAMES COMPANY, INCORPORATED
October 22, 1984 - November 13, 1984
CHESLEY AND DUNN, INC.
May 29, 1984 - October 26, 1984
DEVANNEY, BURGIN, SHANACY, INC.
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
MORGAN SPAULDING, INC.
CRD#: 44604 / SEC#: , 8-50751
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
