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CT

Clifford V. Tomb

Some features on this profile are disabled
CRD#: 447872
CT

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 Von Tomb JR was a registered financial professional .

Clifford is a previously registered financial professional and started their career in finance in 1970. Clifford had worked at 15 firms and has passed the Series 63, Series 3, Series 000, Series 1 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 1988 - March 7, 1989

HAMILTON INVESTMENTS, INC.

BD
CRD#: 821
Past

January 15, 1987 - May 17, 1988

WILLIAM BLAIR

BD
CRD#: 1252
Past

October 3, 1985 - January 19, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 14, 1984 - September 30, 1985

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

February 27, 1984 - October 9, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

June 21, 1982 - September 10, 1982

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

April 8, 1981 - August 10, 1982

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

August 25, 1980 - March 6, 1981

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

August 8, 1978 - December 21, 1978

PERSHING LLC

BD
CRD#: 7560
Past

March 3, 1976 - March 22, 1977

KUHN LOEB & CO. INCORPORATED

BD
CRD#: 2485
Past

July 26, 1973 - April 20, 1975

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

May 14, 1973 - August 27, 1973

CLARK DODGE & CO

BD
CRD#: 1000004
Past

March 12, 1973 - May 23, 1973

CLARK, DODGE & CO., INCORPORATED

BD
CRD#: 161
Past

May 23, 1972 - April 26, 1973

ROOSEVELT & SON INCORPORATED

BD
CRD#: 1000002
Past

March 12, 1970 - July 1, 1972

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/23/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/30/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 000
Date: 3/11/1970
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 3/11/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/31/1998
NFA Branch Manager Examination

Current Firm

HI
HAMILTON INVESTMENTS, INC.
HAMILTON INVESTMENTS, INC. | THE ILLINOIS COMPANY, INC. | ILLINOIS COMPANY INVESTMENTS, INC.

CRD#: 821 / SEC#: , 8-1959

BD
Terminated by SEC on 05/27/1995
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/25/1936
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

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.

Company Information

HAMILTON INVESTMENTS, INC.

CRD#: 821

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