Clifton David Stone
Professional Summary
Clifton David Stone, who also goes by Clifton D Stone, Clifton Stone, was a registered financial advisor. Clifton was a previously registered financial professional and started their career in finance 1999 - 2024. Clifton had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 24, Series 14, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Clifton D Stone, Clifton Stone
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | MATRIX CAPITAL MARKETS GROUP | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
Contact Information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111Phone Number
(415) 835-8900Established
Delaware since 01/01/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | — |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| MUTHYALA, RAJIV THEOPHILUS | CHIEF FINANCIAL OFFICER | 5404859 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| PITARRESI, JOHN CHARLES | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 2064758 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2011About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 1999About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 1999About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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