Clifford E. Lofgren
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 Edwin Lofgren was a registered financial advisor .
Clifford is a previously registered financial advisor and started their career in finance in 1972. Clifford had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, Series 79TO, SIE, Series 5, PC, Series 1, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2012 - August 10, 2021
COBURN & MEREDITH, INC.
September 7, 2012 - January 10, 2013
COBURN & MEREDITH, INC.
March 27, 2009 - September 6, 2012
WINSLOW, EVANS & CROCKER, INC.
March 24, 2009 - September 6, 2012
WINSLOW, EVANS & CROCKER, INC.
January 15, 2008 - December 31, 2008
SOUND CAPITAL MANAGEMENT, LLC
February 9, 2005 - March 25, 2009
ENVOY SECURITIES, LLC
May 27, 2003 - March 30, 2005
COBURN & MEREDITH, INC.
January 29, 1996 - June 3, 2003
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 3, 2003
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 21, 1977 - April 11, 1988
E. F. HUTTON & COMPANY INC
April 10, 1972 - August 6, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/5/1972
Registered Representative ExaminationSeries 12
Date: 5/15/1978
NYSE Branch Manager ExaminationCurrent Firm
COBURN & MEREDITH, INC.
CRD#: 164 / SEC#: 801-69509, 8-2474
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DERWAY, ELIZABETH COBURN | CHIEF COMPLIANCE OFFICER, FINOP, SECRETARY,SHAREHOLDER | 1873991 |
Disclosures
| Regulatory Event | 11 |
Red Flags
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