Clifford F. Blaze
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.
Clifford Fowler Blaze JR, who also goes by Clifford Jr Blaze, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1993. Clifford had worked at 3 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2000 - July 30, 2026
WILLIAMS TRADING LLC
April 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/4/2000
Limited Representative-Equity Trader ExamCurrent 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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