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CJ

Clifford J. Jack

AUGUSTAR DISTRIBUTORS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 1398005
CJ

Professional summary

Clifford James Jack is a registered financial professional currently at AUGUSTAR DISTRIBUTORS, INC. located in Cincinnati, Ohio.

Clifford is registered as a RR (Registered Representative) and started their career in finance in 1985. Clifford has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Clifford James Jack's CRS (Customer Relationship Summary).

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

Current

February 3, 2023 - Present

AUGUSTAR DISTRIBUTORS, INC.

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 41081
Cincinnati, OH
Past

June 22, 2020 - November 5, 2021

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

November 14, 2016 - July 9, 2018

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
MCDONOUGH, GA
Past

March 8, 2013 - January 26, 2015

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

March 8, 2013 - January 26, 2015

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

March 8, 2013 - January 26, 2015

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

March 8, 2013 - January 26, 2015

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

July 3, 2006 - July 6, 2006

CURIAN CLEARING, LLC

BD
CRD#: 132938
DENVER, CO
Past

May 27, 2005 - July 3, 2006

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
DENVER, CO
Past

July 25, 2001 - January 26, 2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

July 11, 1996 - October 11, 2000

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

January 4, 1996 - January 14, 2009

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SANTA MONICA, CA
Past

May 4, 1994 - October 9, 1995

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

June 25, 1993 - October 22, 1993

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

March 13, 1991 - June 2, 1993

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

June 5, 1990 - March 28, 1991

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

September 11, 1989 - May 25, 1990

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
Past

September 23, 1987 - May 25, 1990

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

September 25, 1985 - September 30, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(9/3/2024)
RR
Ohio
(2/11/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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.

Company Information

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081Cincinnati, OH 45242

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