Wesley O. Clinton
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.
Wesley Owen Clinton was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 2003. Wesley had worked at 6 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 7, 2012 - July 7, 2020
NETWORK 1 FINANCIAL SECURITIES INC.
July 12, 2010 - December 10, 2012
OBSIDIAN FINANCIAL GROUP, LLC
February 8, 2010 - July 21, 2010
QA3 FINANCIAL CORP.
September 12, 2008 - February 12, 2010
J.D. NICHOLAS & ASSOCIATES, INC.
March 22, 2005 - October 9, 2008
FIRST MIDWEST SECURITIES, INC.
February 24, 2003 - April 19, 2005
GUNNALLEN FINANCIAL, 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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
