Steven C. Clyde
Professional summary
Steven C. Clyde was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Steven had worked at 8 firms, which includes VERITRUST FINANCIAL LLC, MOORS & CABOT INC., AUERBACH POLLAK & RICHARDSON INC., AMERICAN FRONTEER FINANCIAL CORPORATION, ROTH CAPITAL PARTNERS LLC, QUEST SECURITIES INC., OPPENHEIMER & CO. INC., B.C. CHRISTOPHER SECURITIES CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2003 - April 2, 2004
VERITRUST FINANCIAL, LLC
June 8, 2001 - June 25, 2003
MOORS & CABOT, INC.
December 19, 2000 - June 11, 2001
AUERBACH, POLLAK & RICHARDSON INC.
January 7, 2000 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
August 23, 1999 - January 13, 2000
ROTH CAPITAL PARTNERS, LLC
June 5, 1992 - August 25, 1999
QUEST SECURITIES, INC.
March 23, 1990 - December 31, 1990
OPPENHEIMER & CO. INC.
June 23, 1986 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
State Registrations and Notice Filings
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Exams
Current Firm
VERITRUST FINANCIAL, LLC
CRD#: 106594 / SEC#: 801-71237, 8-53006
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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