Clyde A. Williams
Professional summary
Clyde Anthony Williams JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clyde is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Clyde had worked at 3 firms, which includes CONTINENTAL BROKER-DEALER CORP., A.S. GOLDMEN & CO. INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1998 - July 8, 1999
CONTINENTAL BROKER-DEALER CORP.
March 12, 1997 - October 19, 1998
A.S. GOLDMEN & CO., INC.
September 10, 1996 - February 14, 1997
LCP CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Series 62
Date: 7/18/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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