Clifford E. Long
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 Eugene Long, who also goes by Cliff Long, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 2000. Clifford had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2017 - May 6, 2020
KALOS CAPITAL, INC.
April 26, 2016 - May 6, 2020
KALOS MANAGEMENT
January 11, 2016 - March 1, 2016
RETIREMENTADVICE | JKA
March 12, 2003 - January 12, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
October 24, 2000 - April 4, 2001
MARKET WISE SECURITIES, LLC
August 24, 2000 - February 13, 2001
IDS LIFE INSURANCE COMPANY
August 24, 2000 - February 13, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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: 12/22/2022
General Securities Representative ExaminationSeries 55
Date: 10/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
