James A. 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.
James Anthony Clark was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1984. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2005 - July 2, 2007
MICHAEL J. BUTKUS & COMPANY
October 2, 2002 - March 2, 2005
SMITH HAYES ADVISERS INC
June 4, 2002 - March 2, 2005
SMITH HAYES FINANCIAL SERVICES CORPORATION
January 2, 1985 - June 3, 2002
KFS BD, INC.
July 26, 1984 - January 7, 1985
DICKINSON & CO.
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
MICHAEL J. BUTKUS & COMPANY
CRD#: 129316 / SEC#: 801-67846
Contact information
Red Flags
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