Stephen M. Clifford
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.
Stephen Martin Clifford, who also goes by Stephen M. Clifford, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2012 - October 30, 2014
XP INVESTMENTS US, LLC
September 23, 2010 - July 29, 2011
IXE SECURITIES, LLC
April 10, 2007 - May 11, 2010
IXE SECURITIES, LLC
February 17, 2006 - January 4, 2007
WELLS FARGO SECURITIES, LLC
April 19, 2004 - June 8, 2005
WELLS FARGO SECURITIES, LLC
July 1, 2003 - April 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1998 - September 26, 2000
COWEN AND COMPANY
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
XP INVESTMENTS US, LLC
CRD#: 156691 / SEC#: , 8-68817
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XP HOLDING INTERNATIONAL, LLC | PARENT COMPANY | |
| COSTA, JOSE EDUARDO | CHIEF EXECUTIVE OFFICER | 4983100 |
| GOMEZ, ADELIA MARIEL | CHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER | 5477182 |
| SINGER, STEVEN FREDERIC | PRINCIPAL FINANCIAL OFFICER | 2360737 |
| WILSON, JARED RYAN | CHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER | 5322068 |
Disclosures
| Regulatory Event | 3 |
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.
