Cathy Jane Clift
CFP®Professional Summary
Cathy Jane Clift, CFP® is a registered financial advisor currently at SPC located in Bolivar, Missouri and PARKLAND SECURITIES, LLC located in Bolivar, Missouri. Cathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Cathy has worked at 5 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Credentials
Years of Experience
39 years in the financial services industry
Current & Past Employments
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Current Firm
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
Contact Information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103Phone Number
(734) 663-1611# of Employees
471SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
26,433AUM (Assets Under Management)
$6,102,465,817Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
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.
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
Primary Firm SEC Registration
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
State Registrations and Notice Filings
(2/1/2021)
(2/2/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Sep 1999Series 22 — Direct Participation Programs Representative Examination
Passed Jul 1987About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1986About the Series 6 examSRO Registrations
SRO Registrations
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
CRS (Client Relationship Summary) - RIA
Click below to view Cathy Jane Clift's CRS (Customer Relationship Summary).
Similar Advisors
FALCON WEALTH PLANNING, LLC
BSG ADVISERS
OSAIC WEALTH, INC.
MORGAN STANLEY
