Claude A. Diffenderffer
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.
Claude Augustus Diffenderffer IV, who also goes by Augie Diffenderffer, C. Augie Diffenderffer IV, C. Augie Diffenderffer, Claude Diffenderffer, Claude Augustus Diffenderffer Iv, was a registered financial professional .
Claude is a previously registered financial professional and started their career in finance in 2010. Claude had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2024 - May 1, 2025
S2K FINANCIAL LLC
August 15, 2019 - February 24, 2022
T. ROWE PRICE INVESTMENT SERVICES, INC.
May 2, 2017 - January 15, 2019
NEXPOINT SECURITIES, INC.
June 7, 2013 - April 28, 2017
JANUS HENDERSON DISTRIBUTORS US LLC
April 26, 2010 - June 5, 2013
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
S2K FINANCIAL LLC
CRD#: 248786 / SEC#: , 8-69628
Contact information
FINRA licenses (53 States and Territories)
Documents
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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