Clifford J. St Simon
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.
Clifford Jean St Simon, who also goes by Clifford Jean Stsimon, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1996. Clifford had worked at 17 firms and has passed the Series 63, SIE, 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
July 8, 2015 - September 30, 2015
JOSEPH STONE CAPITAL L.L.C.
September 24, 2012 - June 30, 2015
CAPE SECURITIES INC.
May 7, 2009 - September 21, 2012
EKN FINANCIAL SERVICES INC.
August 7, 2008 - May 27, 2009
ITRADEDIRECT.COM CORP
March 16, 2005 - August 29, 2008
TRIDENT PARTNERS LTD.
July 19, 2004 - March 17, 2005
LH ROSS & COMPANY, INC.
July 21, 2003 - May 5, 2004
LLOYD, SCOTT & VALENTI, LTD.
July 31, 2002 - May 14, 2003
AURA FINANCIAL SERVICES, INC.
April 26, 2002 - July 25, 2002
CAPITAL SUISSE SECURITIES, INC.
August 3, 2000 - November 27, 2001
WOODSTOCK FINANCIAL GROUP, INC.
May 5, 2000 - July 14, 2000
GLOBAL CAPITAL MARKETS, LLC
January 25, 1999 - October 28, 1999
THE CAMELOT GROUP, INC.
March 4, 1998 - October 20, 1998
NATIONAL SECURITIES CORPORATION
October 8, 1997 - December 10, 1997
LEGEND MERCHANT GROUP, INC.
June 6, 1997 - February 6, 1998
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
June 10, 1996 - April 18, 1997
INVESTORS ASSOCIATES, 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
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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