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Detailed Report
CLIFTON WILLOUGHBY HUME
CLIFTON WILLOUGHBY DOUGLAS, Will Hume
CRD#: 2595565
IA
Investment Adviser
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Previous Broker
EASTSOUND CAPITAL ADVISORS, LLCCRD#: 160180 Greeley, CO
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2016 (<1 year)IAEASTSOUND CAPITAL ADVISORS, LLC (CRD# 160180)2023 - Present (1 year)BFIRST NATIONAL CAPITAL MARKETS (CRD# 115920)2010 - 2015 (4 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2002 - 2009 (7 years)BRUSHMORE SECURITIES CORPORATION (CRD# 8392)2000 - 2001 (1 year)BGEMISYS SECURITIES CORPORATION (CRD# 35794)1998 - 2000 (2 years)IASOWELL MANAGEMENT (CRD# 127145)2017 - 2023 (6 years)IAFIRST NATIONAL CAPITAL MARKETS... (CRD# 115920)2014 - 2015 (1 year)
Disclosure(s)
View By:
2/13/2016
Criminal
Pending Charge
License(s)

State Registrations

IA
Colorado 10/17/2023
Current Registration(s)
IA
EASTSOUND CAPITAL ADVISORS, LLC (CRD#:160180)
Greeley, CO
Registered with this firm since 10/17/2023
Previous Registration(s)
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 01/06/2017 - 10/31/2023 SOWELL MANAGEMENT (CRD#:127145) Greeley, CO
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 06/17/2015 - 05/03/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) GREELEY, CO
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 06/17/2015 - 05/03/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) GREELEY, CO
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 06/02/2014 - 06/18/2015 FIRST NATIONAL CAPITAL MARKETS, INC. (CRD#:115920) GREELEY, CO
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 12/07/2010 - 06/18/2015 FIRST NATIONAL CAPITAL MARKETS (CRD#:115920) GREELEY, CO
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 08/23/2002 - 12/23/2009 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) GREELEY, CO
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 05/18/2000 - 09/17/2001 RUSHMORE SECURITIES CORPORATION (CRD#:8392) DALLAS, TX
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 04/30/1998 - 04/14/2000 GEMISYS SECURITIES CORPORATION (CRD#:35794) CENTENNIAL, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.