Clifford H. Goldman
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 Howard Goldman was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1970. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2022 - April 3, 2023
BANCTRUST SECURITIES USA
July 17, 2019 - July 16, 2021
OKCOIN SECURITIES LLC
February 23, 2017 - April 13, 2023
MARCO POLO SECURITIES LLC
January 29, 2015 - April 13, 2023
DAM CAPITAL (USA) INC.
January 4, 2013 - February 20, 2015
MOTILAL OSWAL SECURITIES INTERNATIONAL PRIVATE LIMITED
May 30, 2001 - April 24, 2015
MARCO POLO SECURITIES LLC
September 30, 1996 - July 16, 1999
ING INVESTMENT MANAGEMENT SERVICES LLC
August 28, 1992 - July 1, 1999
ABN AMRO SECURITIES LLC
October 30, 1990 - August 18, 1992
CITIGROUP GLOBAL MARKETS INC.
January 26, 1989 - October 22, 1990
THE STAMFORD COMPANY, INC.
September 23, 1988 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
July 25, 1987 - April 5, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
December 4, 1986 - January 20, 1987
NATWEST SECURITIES CORPORATION
August 16, 1986 - April 5, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
June 26, 1984 - August 19, 1986
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - December 2, 1986
LEHMAN SPECIAL SECURITIES INC.
March 18, 1970 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 11/30/1992
AMEX Put and Call ExamSeries 5
Date: 9/21/1981
Interest Rate Options ExaminationSeries 1
Date: 3/13/1970
Registered Representative ExaminationF04
Date: 7/17/1980
Financial Principal ExaminationSeries 40
Date: 6/3/1976
Registered Principal ExaminationCurrent Firm
BANCTRUST SECURITIES USA
CRD#: 313116 / SEC#: , 8-70708
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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