Clarence M. O'shields
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.
Clarence Morris O'shields, who also goes by Clarence Morris Oshields, was a registered financial advisor .
Clarence is a previously registered financial advisor and started their career in finance in 1995. Clarence had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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 14, 2006 - December 12, 2008
RIDGEWAY & CONGER, INC.
March 8, 2004 - October 10, 2006
GUNNALLEN FINANCIAL, INC
November 10, 2003 - October 10, 2006
GUNNALLEN FINANCIAL, INC
January 4, 1999 - November 5, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 29, 1995 - May 21, 1998
ROBERT THOMAS SECURITIES, 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
Current Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
