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RC

Richard H. Clark

Some features on this profile are disabled
CRD#: 1033954
RC

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

Are you a "fiduciary"?
No

Aliases

Rick Clark

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 12, 2013 - December 19, 2019

KALOS CAPITAL, INC.

BD
CRD#: 44337
RESTON, VA
Past

September 14, 2009 - August 12, 2013

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
RESTON, VA
Past

August 14, 2007 - October 21, 2009

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
RESTON, VA
Past

February 21, 2007 - June 27, 2007

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
VIENNA, VA
Past

October 24, 2005 - February 21, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
VIENNA, VA
Past

February 19, 2002 - October 24, 2005

BLUE VASE SECURITIES, LLC

BD
CRD#: 46765
WASHINGTON, PA
Past

March 21, 1994 - February 19, 2002

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 9, 1992 - March 25, 1994

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

January 5, 1984 - February 18, 1992

NEW ENGLAND SECURITIES

BD
CRD#: 615
Past

April 6, 1983 - July 1, 1983

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

March 16, 1982 - June 23, 1983

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 3/12/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/9/1982
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KC
KALOS CAPITAL, INC.
KALOS CAPITAL, INC.

CRD#: 44337 / SEC#: , 8-50630

BD
Terminated by SEC on 12/03/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 09/26/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KALOS FINANCIAL, INC.OWNER
WILDERMUTH, CAROL JEANCEO, CFO, CCO1555730

Disclosures

Regulatory Event3
Financial1

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.

Company Information

KALOS CAPITAL, INC.

CRD#: 44337

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