Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lawrence Clifford is a registered representative with Scotia Capital (usa) Inc. Charles holds the Series 7, Series 79 and Series 63 securities licenses as well as the SIE exam. He is registered in all 50 states and the District of Columbia. Charles has been in the securities industry since May 8, 2024.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
05/08/2024 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
BC
Issued 07/01/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/08/2024
Series 7TO - General Securities Representative Examination
BC
Issued 01/30/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
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NYSE American LLC
N
NYSE Arca, Inc.
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NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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New York Stock Exchange
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