Clifford L. Greenwald
Professional summary
Clifford Lee Greenwald was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clifford is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Clifford had worked at 5 firms, which includes BROAD STREET SECURITIES INC., EMPIRE FINANCIAL GROUP INC., FREEDOM FINANCIAL INC., SIGMA FINANCIAL CORPORATION, WOODWARD SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2005 - January 13, 2009
BROAD STREET SECURITIES, INC.
November 20, 2003 - November 29, 2005
EMPIRE FINANCIAL GROUP, INC.
May 2, 2002 - November 20, 2003
FREEDOM FINANCIAL, INC.
February 25, 1992 - May 9, 2002
SIGMA FINANCIAL CORPORATION
September 27, 1990 - March 23, 1992
WOODWARD SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
BROAD STREET SECURITIES, INC.
CRD#: 36101 / SEC#: , 8-47171
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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