James D. Clifford
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.
James D Clifford, who also goes by James David Clifford, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2000 - November 16, 2001
SCHONFELD SECURITIES, LLC
July 23, 1998 - April 18, 2000
CAMBRIDGE CAPITAL, LLC
July 1, 1998 - July 20, 1998
ABN AMRO SECURITIES LLC
January 23, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
November 13, 1992 - December 21, 1994
DAIWA CAPITAL MARKETS AMERICA INC.
January 23, 1985 - November 19, 1992
LEHMAN BROTHERS 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
Series 8
Date: 6/22/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 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.
