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CG

Clifton C. Gilchrist

Some features on this profile are disabled
CRD#: 5195201
CG

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.

Clifton Carl Gilchrist was a registered financial professional .

Clifton is a previously registered financial professional and started their career in finance in 2010. Clifton had worked at 5 firms and has passed the Series 63 and Series 7 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

September 25, 2012 - October 22, 2012

SW FINANCIAL

BD
CRD#: 145012
FARMINGDALE, NY
Past

September 14, 2010 - October 21, 2010

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
HAUPPAUGE, NY
Past

March 4, 2010 - October 11, 2010

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
PORT JEFFERSON, NY
Past

January 1, 2010 - January 5, 2010

STONEX SECURITIES INC.

BD
CRD#: 18456
MEDFORD, NY
Past

January 1, 2010 - March 23, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
PORT JEFFERSON, NY

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: 2/26/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/2009
General Securities Representative Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SW FINANCIAL

CRD#: 145012

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