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MC

Michael T. Clements

Some features on this profile are disabled
CRD#: 1702071
MC

Professional summary

Michael Todd Clements was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Michael had worked at 18 firms, which includes INTERCOASTAL CAPITAL MARKETS INC., AVENIR FINANCIAL GROUP, UNION FINANCIAL CORP., JESUP & LAMONT SECURITIES CORP, CONTINENTAL BROKER-DEALER CORP., COLUMBUS ADVISORY GROUP LTD., ORBITEX FUNDS DISTRIBUTOR INC., CREDIT AGRICOLE CHEUVREUX NORTH AMERICA INC., LADENBURG THALMANN & CO. INC., LOCKWOOD FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., NORTHEAST SECURITIES LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, DICKINSON & CO., MONTANO SECURITIES CORPORATION, CHATFIELD DEAN & CO. INC., MORGAN STANLEY DW INC., BLINDER ROBINSON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 18, 2014 - September 12, 2016

INTERCOASTAL CAPITAL MARKETS, INC.

BD
CRD#: 83
BOCA RATON, FL
Past

March 8, 2012 - August 9, 2016

AVENIR FINANCIAL GROUP

BD
CRD#: 148490
WELLINGTON, FL
Past

July 6, 2009 - March 3, 2010

UNION FINANCIAL CORP.

BD
CRD#: 30650
NEW YORK, NY
Past

December 7, 2005 - December 31, 2007

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

December 17, 2003 - March 11, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

September 10, 2003 - September 26, 2003

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

December 4, 2002 - January 5, 2005

ORBITEX FUNDS DISTRIBUTOR, INC.

BD
CRD#: 41453
STAMFORD, CT
Past

August 11, 2000 - July 18, 2001

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

December 7, 1998 - July 11, 2000

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

July 10, 1998 - November 30, 1998

LOCKWOOD FINANCIAL SERVICES, INC.

BD
CRD#: 40655
MALVERN, PA
Past

January 31, 1997 - February 27, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 18, 1996 - January 27, 1997

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

January 11, 1995 - December 23, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1995 - January 26, 1995

DICKINSON & CO.

BD
CRD#: 689
Past

July 7, 1993 - January 21, 1995

MONTANO SECURITIES CORPORATION

BD
CRD#: 7887
ORANGE, CA
Past

August 14, 1991 - October 21, 1991

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

May 22, 1989 - September 11, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 16, 1988 - May 23, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/10/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 5/14/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 12/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/27/1999
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 4/7/1995
General Securities Principal Examination

Current Firm

INTERCOASTAL CAPITAL MARKETS, INC.
INTERCOASTAL CAPITAL MARKETS, INC.
BELLAMAH, NEUHAUSER & BARRETT, INC. | INTERCOASTAL CAPITAL MARKETS, INC. (ICM) | INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83 / SEC#: , 8-9698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Mailing Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Phone number
(561) 939-8282
Established
District of Columbia since 07/26/1960
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIFECTA GROUP HOLDINGS LLCOWNER
BIRD, CARL DAVID JR.CHIEF EXECUTIVE OFFICER4482416
ROGERS, JOHN WILLIAM JRPRESIDENT, CHIEF COMPLIANCE OFFICER2424004
SINGER, STEVEN FREDERICCHIEF FINANCIAL OFFICER, COO, FINOP2360737

Disclosures

Regulatory Event9
Arbitration2
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INTERCOASTAL CAPITAL MARKETS, INC.

INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83

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