Clifton F. Salley
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.
Clifton Franklin Salley was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1994. Clifton had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - August 18, 2014
SANTANDER SECURITIES LLC
January 13, 2014 - August 18, 2014
SANTANDER SECURITIES LLC
August 28, 2006 - December 13, 2013
VANGUARD MARKETING CORPORATION
November 3, 2003 - May 4, 2005
MONY SECURITIES CORPORATION
May 8, 2002 - September 16, 2002
CITIZENS SECURITIES, INC.
July 13, 2000 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
August 24, 1998 - July 22, 1999
IDS LIFE INSURANCE COMPANY
August 24, 1998 - July 22, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 1996 - November 12, 1997
T.L. GROUP, INC.
October 7, 1994 - December 15, 1994
GOLDIS FINANCIAL GROUP, INC.
June 9, 1994 - October 6, 1994
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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