Clifford A. Wiese
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 Allen Wiese, who also goes by Cliff Wiese, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1999. Clifford had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - June 13, 2018
WWM FINANCIAL
July 29, 2011 - October 10, 2011
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - August 9, 2011
MORGAN STANLEY
June 1, 2009 - August 9, 2011
MORGAN STANLEY
July 19, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 20, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
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
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,548 |
| AUM (Assets Under Management) | $ 342,090,884 |
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.
