Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clifton? Claim Your ProfileClifton Hughes is a financial advisor who has been in the industry for over 12 years. Clifton is currently registered with Principal Securities, Inc. and is also registered as an Investment Advisor Representative in the state of Iowa. Clifton has passed multiple FINRA and state examinations including the Series 6, 7, 24, 26, 51, 63, and 65.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
01/23/2023 - Present
Principal Securities, Inc. (DES MOINES IA)
IA
02/23/2011 - 01/18/2017
COUNTRY CAPITAL MANAGEMENT COMPANY (Cedar Falls IA)
IA
Issued 01/20/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/20/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2017
Series 24 - General Securities Principal Examination
BC
Issued 12/22/2011
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/27/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2017
Series 7 - General Securities Representative Examination
BC
Issued 02/22/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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