Clifton Mathias
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 Mathias was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 2001. Clifton had worked at 15 firms and has passed the Series 63, SIE 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
December 11, 2013 - December 3, 2014
WINDSOR STREET CAPITAL, LP
April 11, 2013 - June 18, 2013
WOODSTOCK FINANCIAL GROUP, INC.
February 25, 2013 - April 1, 2013
LAIDLAW & COMPANY (UK) LTD.
July 7, 2011 - February 4, 2013
GLOBAL ARENA CAPITAL CORP
March 15, 2011 - June 17, 2011
THINKEQUITY LLC
August 25, 2010 - October 12, 2010
NATIONAL SECURITIES CORPORATION
January 27, 2010 - August 23, 2010
BUCKMAN, BUCKMAN & REID, INC.
August 20, 2009 - January 14, 2010
MERCER CAPITAL LTD.
April 23, 2009 - July 8, 2009
REID & RUDIGER LLC
April 15, 2009 - April 23, 2009
WINDSOR STREET CAPITAL, LP
May 12, 2008 - October 24, 2008
REUVEN ENTERPRISES SECURITIES DIVISION, LLC
June 25, 2007 - February 7, 2008
JOSEPH STEVENS & CO., INC.
November 18, 2005 - June 25, 2007
EMPIRE FINANCIAL GROUP, INC.
July 19, 2002 - November 23, 2005
EKN FINANCIAL SERVICES INC.
August 9, 2001 - August 24, 2001
DALTON KENT SECURITIES GROUP, INC.
August 9, 2001 - July 22, 2002
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
