Clifford A. Maas
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 Albert Maas was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1969. Clifford had worked at 16 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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
August 29, 2017 - January 19, 2022
LPL FINANCIAL LLC
August 29, 2017 - January 19, 2022
LPL FINANCIAL LLC
September 1, 2009 - August 30, 2017
M HOLDINGS SECURITIES, INC.
May 2, 2002 - September 23, 2003
FSC SECURITIES CORPORATION
July 8, 1997 - August 29, 2017
COZAD ASSET MANAGEMENT INC
December 7, 1990 - September 4, 2009
FSC SECURITIES CORPORATION
June 25, 1988 - December 7, 1990
COZAD INVESTMENT SERVICES, INC.
March 1, 1985 - June 21, 1988
AMERICAN GENERAL SECURITIES INCORPORATED
May 5, 1983 - December 18, 1990
FIRST LIBERTY SECURITIES, INC.
February 23, 1979 - May 7, 1982
ALEXANDER & ALEXANDER SECURITIES CORP.
April 14, 1975 - February 28, 1984
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
June 15, 1974 - June 24, 1975
HIMCO DISTRIBUTION SERVICES COMPANY
February 27, 1974 - April 18, 1985
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
March 30, 1972 - April 22, 1973
ITT FAMILY SECURITY SALES CORPORATION
March 30, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
February 22, 1971 - March 1, 1985
CAL-WESTERN SECURITIES CO.
April 28, 1970 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
June 10, 1969 - February 23, 1979
INCENTIVE INVESTMENTS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 9/23/1968
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
