Richard H. Clark
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Hugh Clark, who also goes by Rick Clark, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2013 - December 19, 2019
KALOS CAPITAL, INC.
September 14, 2009 - August 12, 2013
MADISON AVENUE SECURITIES, LLC
August 14, 2007 - October 21, 2009
WOODSTOCK FINANCIAL GROUP, INC.
February 21, 2007 - June 27, 2007
MADISON AVENUE SECURITIES, LLC
October 24, 2005 - February 21, 2007
CETERA WEALTH SERVICES, LLC
February 19, 2002 - October 24, 2005
BLUE VASE SECURITIES, LLC
March 21, 1994 - February 19, 2002
MUTUAL SERVICE CORPORATION
March 9, 1992 - March 25, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 5, 1984 - February 18, 1992
NEW ENGLAND SECURITIES
April 6, 1983 - July 1, 1983
MML INVESTORS SERVICES, LLC
March 16, 1982 - June 23, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
