Cliff R. Sharfman
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.
Cliff Richard Sharfman was a registered financial professional .
Cliff is a previously registered financial professional and started their career in finance in 1989. Cliff had worked at 11 firms and has passed the Series 66, Series 63, 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
May 7, 2007 - October 29, 2007
PHD CAPITAL
June 13, 2005 - June 28, 2005
SOURCE CAPITAL GROUP, INC.
December 1, 2001 - April 9, 2003
SOURCE CAPITAL GROUP, INC.
August 3, 2000 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
April 7, 1999 - June 26, 2000
FIRST SECURITY INVESTMENTS, INC.
September 17, 1996 - October 19, 1998
MILLENNIUM SECURITIES CORP.
April 13, 1995 - July 31, 1996
DUKE & CO., INC.
August 7, 1991 - March 16, 1995
INVESTORS ASSOCIATES, INC.
July 29, 1991 - August 14, 1991
JOSEPHTHAL & CO., INC.
June 27, 1991 - August 2, 1991
INVESTORS ASSOCIATES, INC.
September 24, 1990 - June 24, 1991
STRATTON OAKMONT INC.
July 10, 1990 - November 9, 1990
COMMONWEALTH ASSOCIATES
June 26, 1989 - July 16, 1990
STRATTON OAKMONT INC.
April 13, 1989 - August 1, 1989
STRATTON SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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