Kevin D. Clark

HEARTLAND ADVISORS

Milwaukee, WI 53202

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CRD#: 1401304

Professional summary

Kevin Douglas Clark, who also goes by Kevin D Clark, is a registered financial advisor currently at HEARTLAND ADVISORS, INC. located in Milwaukee, Wisconsin and ALPS DISTRIBUTORS, INC. located in Milwaukee, Wisconsin.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin D 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.

1. Heartland Advisors. Investment related. 790 Water St, Ste 1200, Milwaukee, WI 53202, Investment Advisor, Sr. Vice President/Equity Trading, start 02/1993, 176 hrs/mo, 132 hrs/mo, Investment management. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Douglas Clark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 10, 2002 - Present

HEARTLAND ADVISORS, INC.

Office #1: 790 N Water Street Suite 1200, Milwaukee, WI 53202

RIA

CRD#: 29433

Milwaukee, WI

Current

August 1, 2007 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 790 Water Street Suite 1200, Milwaukee, WI 53202

CRD#: 16853

Milwaukee, WI

Past

December 21, 2001 - July 31, 2007

HEARTLAND INVESTOR SERVICES, LLC

CRD#: 29693

MILWAUKEE, WI

Past

April 12, 1993 - December 21, 2001

HEARTLAND ADVISORS, INC.

CRD#: 29433

MILWAUKEE, WI

Past

September 24, 1987 - February 16, 1993

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEARTLAND ADVISORS, INC.

CRD#: 29433 / SEC#: 801-19074, 8-44310

RIA

Registered Investment Advisory firm - SEC (6/23/1983 Approved)

Terminated by SEC on 12/09/2003

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Wisconsin
(1/10/2002)

Wisconsin
(11/2/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/29/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/23/1993

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HEARTLAND ADVISORS, INC.

CRD#: 29433 / SEC#: 801-19074, 8-44310

RIA

Registered Investment Advisory firm - SEC (6/23/1983 Approved)

Terminated by SEC on 12/09/2003

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Contact information

Main Address

790 N Water Street Suite 1200, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 347-7777

Established

Wisconsin since 03/03/1953

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEARTLAND ADVISORS, INC. BROCHURE (ADV PART 2A) (8/14/2025)

Direct owners and executive officers

Name	Position	CRD#
HEARTLAND HOLDINGS, INC.	SHAREHOLDER
BEST, NICOLE JEANNINE	SENIOR VICE PRESIDENT & TREASURER	3053329
BESTE, PAUL TIMOTHY	CHIEF OPERATING OFFICER	2262587
MILLER, ERIC JAMES	SENIOR VICE PRESIDENT & DIRECTOR	2437730
NASGOVITZ, WILLIAM JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	344990

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 1,885,901,565

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Kevin D. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Douglas Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

HEARTLAND INVESTOR SERVICES, LLC

HEARTLAND ADVISORS, INC.

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

HEARTLAND ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1987

SIE

Date: 10/1/2018

Series 3

Date: 9/29/1994

Series 7

Date: 9/19/1987

Series 24

Date: 10/24/2000

Series 53

Date: 11/23/1993

FINRA

Current Firm

HEARTLAND ADVISORS, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HEARTLAND ADVISORS, INC.

TRUST BUT VERIFY

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