Clint D. Groton
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.
Clint Daniel Groton was a registered financial professional .
Clint is a previously registered financial professional and started their career in finance in 1988. Clint had worked at 9 firms and has passed the Series 63, SIE, Series 56, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - May 10, 2017
AVATAR SECURITIES, LLC
January 16, 1995 - January 7, 2004
CITICORP INVESTMENT SERVICES
August 1, 1994 - October 26, 1994
CHEMICAL INVESTMENT SERVICES CORP.
September 22, 1993 - August 1, 1994
IFMG SECURITIES, INC.
February 23, 1993 - December 15, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - January 16, 1995
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
March 26, 1990 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
September 23, 1988 - December 15, 1989
ROBERT TODD FINANCIAL CORP.
February 24, 1988 - October 26, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 24, 1988 - October 26, 1988
EQUITABLE ADVISORS, 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
Series 56
Date: 2/19/2014
Proprietary Trader Qualification ExaminationSeries 8
Date: 10/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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