Cleves R. Delp
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.
Cleves Richard Delp was a registered financial professional .
Cleves is a previously registered financial professional and started their career in finance in 1993. Cleves had worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2016 - March 12, 2019
ONE TO ONE, LLC
January 19, 2010 - August 1, 2022
TFO WEALTH PARTNERS
July 21, 2006 - June 24, 2009
TFO WEALTH PARTNERS
October 18, 1999 - April 7, 2010
LPL FINANCIAL LLC
July 21, 1993 - April 7, 2010
LPL FINANCIAL LLC
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
Current Firm
ONE TO ONE, LLC
CRD#: 284717 / SEC#: 801-108392
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
