Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clifford? Claim Your ProfileClifford Tracy is a financial professional with over 30 years of experience in the industry. Clifford holds a Series 7, Series 3, Series 63, Series 65, Series 99TO, and Series 24 licenses. Clifford is currently registered with Brown, Lisle/cummings, Inc. and is active in the states of Rhode Island, California, Connecticut, Florida, Georgia, Maryland, Massachusetts, New York, and Virginia. Clifford has previous experience with MML INVESTORS SERVICES, LLC, BOSTONIA GLOBAL SECURITIES, LLC, LEGG MASON WOOD WALKER, INCORPORATED, HSBC SECURITIES (USA) INC., DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, and PAINEWEBBER INCORPORATED. Clifford specializes in Portfolio Management for Individuals and Businesses, and Financial Planning.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
RI
11/28/2012 - Present
Brown, Lisle/cummings, Inc. (PROVIDENCE RI)
MA
05/15/2009 - 06/02/2011
MML INVESTORS SERVICES, LLC (SOUTH EASTON MA)
MA
03/17/2005 - 02/25/2008
BOSTONIA GLOBAL SECURITIES, LLC (BOSTON MA)
MD
12/01/1999 - 03/21/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
10/10/1996 - 11/22/1999
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
MD
08/02/1990 - 09/13/1996
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NJ
07/28/1987 - 08/08/1990
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
11/22/1983 - 02/21/1985
PAINEWEBBER INCORPORATED
IA
Issued 11/27/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1985
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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