Todd 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.
Todd Clark, who also goes by Todd Rhoads Clark, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1983. Todd had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 3, Series 7, Series 24 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
August 14, 2015 - April 7, 2016
FISHER INVESTMENTS
May 20, 2015 - June 3, 2015
MML INVESTORS SERVICES, LLC
May 19, 2015 - June 3, 2015
MML INVESTORS SERVICES, LLC
December 18, 2012 - May 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2012 - May 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2010 - July 1, 2011
MORGAN JOSEPH TRIARTISAN LLC
July 14, 2010 - July 21, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2005 - May 4, 2010
NOLLENBERGER CAPITAL PARTNERS INC.
January 14, 2002 - September 1, 2005
WELLS FARGO SECURITIES, LLC
February 15, 2000 - December 19, 2001
W.R. HAMBRECHT + CO., LLC
January 17, 2000 - February 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 20, 1999 - January 17, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
April 30, 1998 - August 20, 1999
CHARLES SCHWAB & CO., INC.
May 16, 1996 - April 7, 1998
HSBC SECURITIES (USA) INC.
March 24, 1995 - May 17, 1996
RODMAN & RENSHAW INC.
June 8, 1993 - March 31, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
March 6, 1993 - April 6, 1993
HIGHBRIDGE CAPITAL CORPORATION
August 11, 1992 - September 22, 1993
AUDOBON SECURITIES, INC.
September 22, 1983 - August 7, 1991
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 55
Date: 11/22/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 12/4/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
