Clifford P. Conley
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 Paul Conley was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1969. Clifford had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - December 31, 2023
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 24, 2017 - December 31, 2023
AEGIS CAPITAL CORP.
April 4, 2012 - February 17, 2017
NATIONAL SECURITIES CORPORATION
September 5, 2008 - April 5, 2012
OSAIC FS, INC.
September 5, 2008 - April 5, 2012
OSAIC FS, INC.
January 3, 2006 - October 3, 2008
CETERA WEALTH SERVICES, LLC
August 18, 2005 - October 3, 2008
CETERA WEALTH SERVICES, LLC
June 2, 2005 - August 24, 2005
FIRST MONTAUK SECURITIES CORP.
June 2, 2005 - August 24, 2005
FIRST MONTAUK SECURITIES CORP.
July 1, 2003 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 9, 1973 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 23, 1969 - June 5, 1974
HALLE & STEIGLITZ FILOR BULLARD INC
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/29/1964
Registered Representative ExaminationCurrent Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
