CY
Clifford M. Yonce
SIGULER GUFF GLOBAL MARKETS
NEW YORK, NY 10166
Some features on this profile are disabled
CRD#: 2488698
CY
Professional summary
Clifford Miller Yonce, who also goes by Cliff Yonce, is a registered financial professional currently at SIGULER GUFF GLOBAL MARKETS, LLC located in New York, New York.
Clifford is registered as a RR (Registered Representative) and started their career in finance in 2001. Clifford has worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cliff Yonce
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.
CRS (Client Relationship Summary) - BD
Click below to view Clifford Miller Yonce's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 4, 2013 - Present
SIGULER GUFF GLOBAL MARKETS, LLC
Office #1: 200 Park Avenue 14th Floor, New York, NY, 10166Office #2: 200 Park Avenue 23rd Floor, New York, NY 10166BD
CRD#: 159534
NEW YORK, NY
Past
January 9, 2001 - May 26, 2006
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/8/2016)
RR
Alaska(3/8/2016)
RR
Arizona(3/8/2016)
RR
Arkansas(6/28/2016)
RR
California(3/8/2016)
RR
Colorado(3/8/2016)
RR
Connecticut(2/24/2015)
RR
Delaware(3/8/2016)
RR
District of Columbia(4/1/2016)
RR
Florida(3/8/2016)
RR
Georgia(3/8/2016)
RR
Hawaii(4/7/2016)
RR
Idaho(3/8/2016)
RR
Illinois(3/8/2016)
RR
Indiana(3/8/2016)
RR
Iowa(3/8/2016)
RR
Kansas(4/18/2016)
RR
Kentucky(3/8/2016)
RR
Louisiana(3/8/2016)
RR
Maine(2/24/2015)
RR
Maryland(3/8/2016)
RR
Massachusetts(2/24/2015)
RR
Michigan(3/8/2016)
RR
Minnesota(3/8/2016)
RR
Mississippi(3/8/2016)
RR
Missouri(3/8/2016)
RR
Montana(3/8/2016)
RR
Nebraska(3/8/2016)
RR
Nevada(4/5/2016)
RR
New Hampshire(2/24/2015)
RR
New Jersey(3/8/2016)
RR
New Mexico(3/8/2016)
RR
New York(9/30/2013)
RR
North Carolina(3/8/2016)
RR
North Dakota(3/8/2016)
RR
Ohio(3/8/2016)
RR
Oklahoma(3/8/2016)
RR
Oregon(3/8/2016)
RR
Pennsylvania(2/24/2015)
RR
Rhode Island(2/24/2015)
RR
South Carolina(3/17/2016)
RR
South Dakota(3/8/2016)
RR
Tennessee(3/8/2016)
RR
Texas(3/8/2016)
RR
Utah(3/8/2016)
RR
Vermont(2/24/2015)
RR
Virginia(3/8/2016)
RR
Washington(3/8/2016)
RR
West Virginia(3/8/2016)
RR
Wisconsin(3/8/2016)
RR
Wyoming(3/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SG
SIGULER GUFF GLOBAL MARKETS, LLC
SIGULER GUFF GLOBAL MARKETS, LLC
CRD#: 159534 / SEC#: , 8-68996
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Park Avenue 14th Floor, New York, NY, 10166
Mailing Address
200 Park Avenue 14th Floor, New York, NY, 10166
Phone number
(212) 332-5100
Established
Delaware since 04/14/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
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.
