CLIFTON NEIL MCINTIRE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 6805 MORRISON BOULEVARD, SUITE 490, CHARLOTTE, NC, 28211.
CLIFTON NEIL MCINTIRE has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since January 27, 2017
Disclosure History
CLIFTON NEIL MCINTIRE has 4 Disclosure Event(s).
Date: November 23, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABLILITY WITH REGARD TO MUTUAL FINDS PURCHASED BETWEEN 2000-2005 Settlement Amount: $28,500.00
Date: January 09, 2006 Category: Customer Dispute Allegations: CLAIM ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO THE SALE OF DCA MUTUAL FUND SHARES. UNSPECIFIED DAMAGES - BELIEVED TO BE IN EXCESS OF $5,000. Broker Comment: AS OF JANUARY 9, 2008, THIS ITEM IS NO LONGER REPORTABLE.
Date: March 01, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS "NEVER ADVISED THAT WE WERE IN TOO HIGH OF A RISK CATEGORY". ALLEGED DAMAGES ESTIMATED TO EXCEED $5000. Broker Comment: AS OF 03/01/2006 THIS ITEM IS NO LONGER REPORTABLE.
Date: July 28, 1976 Category: Regulatory
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