Barry L. Cliff
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.
Barry Lee Cliff was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1969. Barry had worked at 9 firms and has passed the Series 63, Series 1 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
July 3, 1986 - December 31, 2012
AFC ASSET MANAGEMENT SERVICES, INC.
June 19, 1985 - May 14, 2009
CETERA WEALTH SERVICES, LLC
March 3, 1981 - June 28, 1985
FSC SECURITIES CORPORATION
January 22, 1980 - March 27, 1981
INDEPENDENT SECURITIES CORPORATION
March 17, 1975 - November 9, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
January 7, 1975 - April 13, 1975
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 14, 1974 - January 14, 1975
SOMERSET EQUITIES CORPORATION
May 4, 1973 - May 19, 1974
I.F.S. INVESTORS SERVICES, INC.
July 30, 1969 - February 11, 1972
NORTH AMERICAN EQUITY CORPORATION
July 22, 1969 - July 1, 1973
INDEPENDENT SECURITIES 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
Series 1
Date: 7/16/1969
Registered Representative ExaminationCurrent Firm
AFC ASSET MANAGEMENT SERVICES, INC.
CRD#: 115737 / SEC#: 801-71094
Contact information
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.
