Clifton D. Brown
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.
Clifton Dean Brown, who also goes by Cliff D Brown, was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1989. Clifton had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, 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
September 27, 2021 - August 25, 2025
CEIBA FINANCIAL, LLC
December 17, 2004 - October 28, 2006
CETERA INVESTMENT ADVISERS LLC
October 21, 2004 - October 28, 2006
CETERA FINANCIAL SPECIALISTS LLC
January 15, 2003 - October 26, 2004
MUTUAL SERVICE CORPORATION
February 29, 2000 - October 26, 2004
MUTUAL SERVICE CORPORATION
January 26, 2000 - February 9, 2000
MUTUAL SERVICE CORPORATION
March 23, 1994 - December 31, 1999
MUTUAL SERVICE CORPORATION
March 20, 1991 - April 6, 1992
CINCINNATI ANALYSTS, INC.
August 22, 1989 - April 10, 1991
THE ADVISORS GROUP, 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
Series 79TO
Date: 9/27/2021
Investment Banking Registered Representative ExaminationCurrent Firm
CEIBA FINANCIAL, LLC
CRD#: 298977 / SEC#: , 8-70236
Contact information
FINRA licenses (15 States and Territories)
Documents
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.
