Stephen F. Clifford
Professional summary
Stephen Francis Clifford was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Stephen had worked at 5 firms, which includes INVESTORS CAPITAL CORP., LPL FINANCIAL LLC, AMERICAN EXPRESS FINANCIAL CORPORATION, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
March 8, 2005 - December 31, 2007
INVESTORS CAPITAL CORP.
August 23, 1995 - March 9, 2005
LPL FINANCIAL LLC
August 29, 1990 - March 9, 2005
LPL FINANCIAL LLC
May 22, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 22, 1981 - August 15, 1990
IDS LIFE INSURANCE COMPANY
May 22, 1981 - August 15, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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