Clifton E. Strain
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 Eugene Strain was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1989. Clifton had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - September 3, 2020
BURCH & COMPANY, INC
December 18, 2014 - June 18, 2015
BENTLEY SECURITIES CORPORATION
July 16, 2013 - October 23, 2014
MILLER TABAK + CO., LLC
February 16, 2012 - August 14, 2013
TIGRESS FINANCIAL PARTNERS, LLC
July 1, 2003 - July 3, 2006
WELLS FARGO SECURITIES, LLC
September 19, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1995 - July 12, 1999
MORGAN STANLEY & CO. LLC
November 21, 1989 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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: 5/30/2024
Investment Banking Registered Representative ExaminationCurrent Firm
BURCH & COMPANY, INC
CRD#: 102280 / SEC#: , 8-52121
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Arbitration | 1 |
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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