David C. Clifford
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.
David Christopher Clifford, who also goes by David C Clifford, David C. Clifford, David Christopher Clifford, David Clifford, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53 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
September 3, 2009 - January 6, 2015
TD AMERITRADE, INC.
August 25, 2008 - January 29, 2009
CANTOR FITZGERALD & CO.
March 23, 2005 - December 11, 2007
COMMERZ MARKETS LLC
August 1, 2003 - March 1, 2005
PORTIGON SECURITIES INC.
April 16, 2002 - March 31, 2003
ICLEARING LLC
May 1, 2000 - May 16, 2000
PORTIGON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
