Stephen Francis Clifford
Professional Summary
Stephen Francis Clifford, who also goes by Stephen F Clifford, was a registered financial advisor. Stephen was a previously registered financial advisor and started their career in finance 1981 - 2005. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen F Clifford
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.
Contact Information
Established
Massachusetts since 07/06/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
22Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1981About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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