Clifford A. Stokes
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.
Clifford Alan Stokes was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1987. Clifford had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2016 - February 15, 2018
SECURITIES AMERICA, INC.
January 24, 2014 - January 6, 2015
INVEST FINANCIAL CORPORATION
October 2, 2012 - December 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2010 - October 12, 2011
PNC WEALTH MANAGEMENT LLC
June 1, 2007 - September 24, 2009
NATCITY INVESTMENTS, INC.
April 5, 2005 - September 12, 2005
FIFTH THIRD SECURITIES, INC.
March 21, 2003 - February 28, 2005
INVEST FINANCIAL CORPORATION
June 14, 1999 - July 24, 2001
PNC BROKERAGE CORP
February 20, 1992 - May 18, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 20, 1992 - May 18, 1992
PRUCO SECURITIES, LLC.
September 21, 1987 - October 12, 1988
PRUCO SECURITIES, LLC.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
