Ronald J. Clifton
Professional summary
Ronald Jay Clifton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Ronald had worked at 7 firms, which includes GLOBALINK SECURITIES INC., SIGNAL SECURITIES INC., PROSPERA FINANCIAL SERVICES INC., SUNAMERICA SECURITIES INC., PRINCIPAL FINANCIAL SECURITIESINC., A. G. EDWARDS & SONS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2001 - April 22, 2002
GLOBALINK SECURITIES, INC.
April 8, 1998 - December 31, 2000
SIGNAL SECURITIES, INC.
November 17, 1997 - February 11, 1998
PROSPERA FINANCIAL SERVICES, INC.
October 22, 1996 - November 3, 1997
SUNAMERICA SECURITIES, INC.
January 19, 1990 - October 29, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
June 15, 1987 - January 16, 1990
A. G. EDWARDS & SONS, INC.
March 25, 1987 - July 1, 1987
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
Current Firm
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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