Clifford Howard Goldman
Professional Summary
Clifford Howard Goldman was a registered financial advisor. Clifford was a previously registered financial professional and started their career in finance 1970 - 2023. Clifford had worked at 17 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 79TO, SIE, Series 3, PC, Series 5, Series 1, Series 27, Series 24, Series 14, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
BANCTRUST & CO. | BTCO SECURITIES LLC | BANCTRUST SECURITIES USA
Contact Information
Main Address
620 Fifth Avenue Suite 206, New York, NY 10020Mailing Address
620 Fifth Avenue Suite 206, New York, NY 10020Phone Number
(212) 466-6513Established
Delaware since 03/09/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examPC — AMEX Put and Call Exam
Passed Nov 1992Series 5 — Interest Rate Options Examination
Passed Sep 1981Series 1 — Registered Representative Examination
Passed Mar 1970F04 — Financial Principal Examination
Passed Jul 1980Series 40 — Registered Principal Examination
Passed Jun 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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