Stephen C. Clifford

CAPITAL SYNERGY PARTNERS

Scottsdale, AZ 85254

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CRD#: 1685920

Professional summary

Stephen Christopher Clifford is a registered financial advisor currently at CAPITAL SYNERGY PARTNERS located in Scottsdale, Arizona.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

HOMESMART 14850 N. SCOTTSDALE ROAD SUITE 385 SCOTTSDALE, AZ 85254 EMPLOYEE/NON INVESTMENT RELATED/REAL ESTATE SALES EFFECTIVE: 09/2008 8 HOURS PER MONTH/0 HOURS DURING MARKET HOURS THE WINFIELD GROUP LLC 14850 N. SCOTTSDALE ROAD SUITE 385 SCOTTSDALE, AZ 85254 OWNER/FIXED INSURANCE/LIFE & ANNUITY SALES/NON INVESTMENT-RELATED EFFECTIVE: 01/2001 150 HOURS PER MONTH/4 HOURS DURING MARKET HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Christopher Clifford's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Christopher Clifford's CRS (Customer Relationship Summary).

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

June 22, 2012 - Present

CAPITAL SYNERGY PARTNERS

Office #1: 14850 N. Scottsdale Road Suite 385, Scottsdale, AZ 85254

RIA

CRD#: 148733

Scottsdale, AZ

Current

July 25, 2011 - Present

CAPITAL SYNERGY PARTNERS

Office #1: 14850 N. Scottsdale Road Suite 385, Scottsdale, AZ 85254

RIA

CRD#: 148733

Scottsdale, AZ

Past

April 2, 2011 - April 7, 2011

CAPITAL SYNERGY PARTNERS

CRD#: 148733

IRVINE, CA

Past

July 7, 2008 - September 21, 2009

QA3 FINANCIAL LLC

RIA

CRD#: 104957

SCOTTSDALE, AZ

Past

February 29, 2008 - September 21, 2009

QA3 FINANCIAL CORP.

CRD#: 14754

SCOTTSDALE, AZ

Past

September 18, 2007 - December 11, 2007

QA3 FINANCIAL CORP.

CRD#: 14754

SCOTTSDALE, AZ

Past

September 27, 2006 - September 19, 2007

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

SCOTTSDALE, AZ

Past

January 4, 2005 - February 27, 2006

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

FOUNTAIN HILLS, AZ

Past

March 4, 2004 - December 17, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

December 2, 2003 - December 31, 2003

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 15, 2001 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

November 20, 2000 - June 1, 2001

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

July 29, 1992 - May 19, 1993

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

June 8, 1987 - August 27, 1990

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(8/2/2011)

IAR

Arizona
(1/12/2022)

California
(7/25/2011)

IAR

California
(6/22/2012)

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

State Security Law Exam

IAR

Series 65

Date: 6/16/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/17/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL SYNERGY PARTNERS

CAPITAL SYNERGY PARTNERS | CAPITAL SYNERGY PARTNERS, INC.

CRD#: 148733 / SEC#: 801-117828, 8-68060

RIA

Registered Investment Advisory firm - SEC (5/11/2020 Terminated)

Arizona

Registered Investment Advisory firm - SEC (4/4/2013 Approved)

Arkansas

Registered Investment Advisory firm - SEC (5/27/2011 Approved)

California

Registered Investment Advisory firm - SEC (5/23/2011 Approved)

Colorado

Registered Investment Advisory firm - SEC (11/5/2021 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (7/9/2018 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (5/5/2011 Approved)

Florida

Registered Investment Advisory firm - SEC (10/10/2017 Approved)

Georgia

Registered Investment Advisory firm - SEC (4/28/2011 Approved)

Idaho

Registered Investment Advisory firm - SEC (6/24/2011 Approved)

Indiana

Registered Investment Advisory firm - SEC (6/24/2013 Approved)

Iowa

Registered Investment Advisory firm - SEC (5/26/2011 Approved)

Louisiana

Registered Investment Advisory firm - SEC (1/10/2013 Approved)

Massachusetts

Registered Investment Advisory firm - SEC (9/26/2011 Approved)

Michigan

Registered Investment Advisory firm - SEC (1/18/2018 Approved)

Minnesota

Registered Investment Advisory firm - SEC (3/10/2015 Approved)

Missouri

Registered Investment Advisory firm - SEC (8/10/2018 Approved)

Montana

Registered Investment Advisory firm - SEC (12/22/2010 Approved)

Nebraska

Registered Investment Advisory firm - SEC (2/24/2012 Approved)

Nevada

Registered Investment Advisory firm - SEC (6/28/2012 Approved)

New Jersey

Registered Investment Advisory firm - SEC (3/29/2011 Approved)

North Carolina

Registered Investment Advisory firm - SEC (10/12/2011 Approved)

Ohio

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (3/9/2018 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/23/2015 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/5/2012 Approved)

South Carolina

Registered Investment Advisory firm - SEC (10/5/2011 Approved)

Texas

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

Wisconsin

Registered Investment Advisory firm - SEC (8/1/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2860 Michelle Drive, Suite 150, Irvine, CA 92606

Mailing Address

2860 Michelle Drive, Suite 150, Irvine, CA 92606

Phone number

(949) 442-7413

Established

California since 01/14/1999

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ANDREW A. HOLDEN FAMILY TRUST 12/20/2000	OWNER
EIDAROUS, REYHEENA MARIA	FINOP	4219599
GANDY, MATTHEW AUSTIN	PRINCIPAL	7007855
HOLDEN, ANDREW ALAN	TRUSTEE & PRESIDENT	3098455
SNIDER, RONALD EDWARD	PRINICPAL	2629896
STALEY, TIMOTHY ROY	CHIEF COMPLIANCE OFFICER & AML OFFICER	1663927

Regulatory assets under management

Total Number of Accounts	386
AUM (Assets Under Management)	$ 89,105,726

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.

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Advisor Monitoring

Firm Stability Insights

Stephen C. Clifford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Christopher Clifford's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Christopher Clifford's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL SYNERGY PARTNERS

CAPITAL SYNERGY PARTNERS

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

QA3 FINANCIAL CORP.

SUNSET FINANCIAL SERVICES, INC.

BROOKLIGHT PLACE SECURITIES, INC.

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

CINCINNATI ANALYSTS, INC.

TOWER SQUARE SECURITIES, INC.

BMA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2008

Series 63

Date: 10/6/2000

SIE

Date: 10/1/2018

Series 6

Date: 11/17/2000

FINRA

Current Firm

CAPITAL SYNERGY PARTNERS

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CAPITAL SYNERGY PARTNERS

TRUST BUT VERIFY

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