Dennis B. Clifford
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.
Dennis Bryan Clifford, who also goes by Denny Clifford, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1976. Dennis had worked at 10 firms and has passed the Series 63 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
March 24, 2010 - June 25, 2010
WINDSOR STREET CAPITAL, LP
December 18, 2006 - February 12, 2008
WINDSOR STREET CAPITAL, LP
December 6, 2002 - December 31, 2004
BROOKSTONE SECURITIES, INC.
November 5, 1999 - December 12, 2000
FIRST SECURITIES USA, INC.
April 25, 1994 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
May 10, 1988 - December 23, 1992
USA FINANCIAL GROUP, INC.
August 18, 1986 - October 10, 1989
PRUCO SECURITIES, LLC.
July 5, 1985 - July 23, 1987
LAKSHMI INVESTMENT GROUP, INC.
September 24, 1980 - April 8, 1985
ADAMS, JAMES, ABARR & COMPANY, INC.
February 20, 1976 - October 17, 1980
ASHTON & CO.
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 1
Date: 2/16/1976
Registered Representative ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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