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STEPHEN CHRISTOPHER CLIFFORD
CRD#: 1685920
IA
B
CAPITAL SYNERGY PARTNERSCRD#: 148733 14850 N. SCOTTSDALE ROAD SUITE 385
SCOTTSDALE, AZ 85254
SCOTTSDALE, AZ 85254
0
Disclosures
25
Years of Experience
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State Registrations
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Arizona 8/2/2011
B
California 7/25/2011
IA
Arizona 1/12/2022
IA
California 6/22/2012
SRO Registrations
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IA
Registered with this firm since 6/22/2012
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Registered with this firm since 7/25/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/02/2011 - 04/07/2011 | IRVINE, CA | |
IA | 07/07/2008 - 09/21/2009 | SCOTTSDALE, AZ | |
B | 02/29/2008 - 09/21/2009 | SCOTTSDALE, AZ | |
B | 09/18/2007 - 12/11/2007 | SCOTTSDALE, AZ | |
B | 09/27/2006 - 09/19/2007 | SCOTTSDALE, AZ | |
B | 01/04/2005 - 02/27/2006 | FOUNTAIN HILLS, AZ | |
B | 03/04/2004 - 12/17/2004 | NEW YORK, NY | |
B | 12/02/2003 - 12/31/2003 | NEW YORK, NY | |
B | 08/15/2001 - 12/02/2003 | NEW YORK, NY | |
B | 11/20/2000 - 06/01/2001 | CINCINNATI, OH | |
B | 07/29/1992 - 05/19/1993 | ||
B | 06/08/1987 - 08/27/1990 |
SCOTTSDALE, AZ
07/07/2008 - 09/21/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.