Clifford F. Mastricola
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.
Clifford Frederick Mastricola, who also goes by Clifford F Mastricola, Clifford Fredrick Mastricola, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1993. Clifford had worked at 8 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
July 20, 2001 - November 30, 2001
HORNBLOWER & WEEKS, INC.
December 8, 2000 - July 18, 2001
CHICAGO INVESTMENT GROUP, LLC
June 20, 2000 - December 7, 2000
KIRLIN SECURITIES INC.
October 22, 1999 - May 19, 2000
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
February 7, 1999 - September 28, 1999
DETWILER FENTON & CO.
July 10, 1998 - January 28, 1999
WELLS FARGO SECURITIES, LLC
April 13, 1995 - June 23, 1998
THE BOSTON GROUP
February 5, 1993 - April 12, 1995
A.S. GOLDMEN & CO., 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
HORNBLOWER & WEEKS, INC.
CRD#: 4683 / SEC#: , 8-16493
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
