Clifton N. Mcintire
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.
Clifton Neil Mcintire JR, who also goes by Clif Mcintire Jr, was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1963. Clifton had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1, Series 4, Series 00 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
February 2, 2017 - January 3, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 27, 2017 - January 3, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 10, 2009 - January 30, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 10, 2009 - January 30, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 18, 2000 - September 10, 2009
MORGAN KEEGAN & COMPANY, LLC
February 18, 2000 - September 10, 2009
MORGAN KEEGAN & COMPANY, LLC
March 7, 1988 - February 28, 2000
UBS FINANCIAL SERVICES INC.
March 11, 1986 - March 9, 1988
THE PINNACLE GROUP, INC.
March 13, 1973 - March 6, 1986
E. F. HUTTON & COMPANY INC
October 14, 1963 - January 28, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 10/9/1963
Registered Representative ExaminationSeries 00
Date: 4/30/1973
General Securities Principal ExaminationSeries 12
Date: 10/14/1966
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
