Stephen Clarke
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.
Stephen Clarke, who also goes by K S Clarke, K Stephen Clarke, Kenneth S Clarke, Kenneth Stephen Clarke, Stephen Clarke, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2018 - March 12, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2018 - March 12, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2009 - October 29, 2009
CETERA WEALTH SERVICES, LLC
January 24, 2007 - April 17, 2007
WAMU INVESTMENTS, INC.
October 18, 2002 - July 17, 2006
1717 CAPITAL MANAGEMENT COMPANY
November 20, 2001 - July 9, 2002
OSAIC WEALTH, INC.
January 8, 1991 - November 29, 1999
ROBERT W. BAIRD & CO. INCORPORATED
January 8, 1991 - November 29, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 7, 1986 - November 14, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 2, 1986 - October 31, 1990
BERKSHIRE EQUITY SALES, INC.
July 3, 1985 - September 2, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 26, 1984 - April 29, 1985
UNIVERSAL SECURITIES OF AMERICA, INC.
November 22, 1983 - January 5, 1984
JII SECURITIES INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 8
Date: 7/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
