John R. Clifford
Professional summary
John Robert Clifford is a registered financial professional currently at FIRST MANHATTAN SECURITIES LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Robert Clifford's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2005 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022June 4, 1999 - November 27, 2002
APPLE SECURITIES LLC
December 18, 1997 - March 31, 1999
OCC DISTRIBUTORS LLC
October 14, 1997 - November 26, 1997
CIBC WORLD MARKETS CORP.
July 23, 1997 - September 26, 1997
NEUBERGER BERMAN BD LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/18/2005
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
FIRST MANHATTAN SECURITIES LLC
CRD#: 1845 / SEC#: 801-12411, 8-10438
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FMC GROUP HOLDINGS LP | LIMITED PARTNERSHIP | |
| WYDRA, ZACHARY A | CHIEF EXECUTIVE OFFICER | 2937857 |
| ASPEN, ANDREW JOSEPH | CHIEF LEGAL OFFICER | 5282749 |
| COVINO, JEREMY PAUL | CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130) | 6794503 |
| PINTO, ALVARO SPINOLA | FINOP/PRINCIPAL OPERATIONS OFFICER | 6367887 |
| SAMMARCO, JOSEPH ANTHONY | CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION | 2982052 |
Regulatory assets under management
| Total Number of Accounts | 5,308 |
| AUM (Assets Under Management) | $ 29,853,233,052 |
Disclosures
| Regulatory Event | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2022 |
Red Flags
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