Clifford F. Blaze
Professional summary
Clifford Fowler Blaze JR, who also goes by Clifford Jr Blaze, is a registered financial professional currently at WILLIAMS TRADING LLC located in Westport, Connecticut.
Clifford is registered as a RR (Registered Representative) and started their career in finance in 1993. Clifford has worked at 3 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Clifford Fowler Blaze JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2000 - Present
WILLIAMS TRADING LLC
Office #1: 450 Post Road East Suite 120, Westport, CT 06880April 7, 1998 - February 25, 2000
GOLDMAN SACHS & CO. LLC
March 10, 1998 - April 1, 1998
GOLDMAN SACHS & CO. LLC
April 22, 1993 - March 11, 1998
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/7/2023)
(6/11/2018)
(1/21/2004)
(1/19/2005)
(1/21/2004)
(6/11/2018)
(6/11/2018)
(6/11/2018)
(1/19/2005)
(6/25/2018)
(7/18/2018)
(6/11/2018)
(6/11/2018)
(6/22/2018)
(6/11/2018)
(6/11/2018)
(2/23/2000)
(6/11/2018)
(6/11/2018)
(6/11/2018)
(7/18/2018)
(7/3/2006)
(4/4/2024)
(6/11/2018)
(6/11/2018)
(1/21/2004)
(3/8/2024)
(6/11/2018)
(1/21/2004)
(6/11/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/4/2000
Limited Representative-Equity Trader ExamFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
WILLIAMS TRADING LLC
CRD#: 43678 / SEC#: , 8-50372
Contact information
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID BREWSTER | MANAGING MEMBER/GENERAL SECURITIES PRINCIPAL | 1715713 |
| GOERTZ, JOSEPH THOMAS | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 5607738 |
| MARCIANO, LANCE DANIEL | CHIEF OPERATING OFFICER | 2261020 |
| MOONEY, MATTHEW BRIAN | REGISTERED OPTIONS PRINCIPAL | 3100953 |
| MOROVATI, BABAK BOBBY | CFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO | 5650049 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
WILLIAMS TRADING LLC
CRD#: 43678Westport, CT 06880TRUST BUT VERIFY
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