Clifford D. Hale-sanders
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 David Hale-sanders was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 2001. Clifford had worked at 4 firms and has passed the Series 63, SIE, Series 87 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 8, 2009 - August 17, 2015
CORMARK SECURITIES (USA) LIMITED
September 20, 2006 - July 2, 2009
CIBC WORLD MARKETS CORP.
July 29, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
October 3, 2001 - January 13, 2005
RBC CAPITAL MARKETS CORPORATION
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
CORMARK SECURITIES (USA) LIMITED
CRD#: 101000 / SEC#: , 8-52049
Contact information
FINRA licenses (21 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
