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Michael Jeremiah Clifford

Loop Capital Markets LLC

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About Michael Jeremiah Clifford

Michael Clifford is a financial professional with over 30 years of experience in the securities industry. Michael is currently registered with Loop Capital Markets LLC. Michael has a strong background in municipal securities and has held prior positions at firms such as First Southwest Company, BANC of America Securities LLC, Paine Webber Incorporated, and Patriot Securities, Inc. Michael is a Series 6, 7, 53 and 63 licensed professional.

Firm Information

Michael Clifford is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Michael Clifford’s Registration & Firm History

NJ

05/10/2011 - Present

Loop Capital Markets LLC (Clark NJ)

NY

04/09/2009 - 02/28/2011

FIRST SOUTHWEST COMPANY (NEW YORK NY)

NY

02/18/2000 - 04/21/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

IL

11/09/1999 - 03/24/2000

LOOP CAPITAL MARKETS L.L.C. (CHICAGO IL)

NJ

06/23/1995 - 09/03/1999

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

01/07/1994 - 06/08/1994

PATRIOT SECURITIES, INC. (NEW YORK NY)

CA

04/08/1991 - 10/30/1993

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)

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Licenses & Designations

BC

Issued 07/21/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/21/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/1992

Series 7 - General Securities Representative Examination

BC

Issued 04/04/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Jeremiah Clifford. Review regulatory record here.
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