Sean P. Clifford
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.
Sean Patrick Clifford was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1994. Sean had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2020 - October 11, 2022
VCP APEX (US)
August 17, 2018 - February 22, 2019
NUVEEN SECURITIES, LLC
January 1, 2001 - April 18, 2002
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
May 3, 1995 - January 1, 2001
PERSHING LLC
May 17, 1994 - April 20, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VCP APEX (US)
CRD#: 169090 / SEC#: , 8-69347
Contact information
Documents
Red Flags
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