Brian J. Clark
Professional summary
Brian James Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Brian had worked at 7 firms, which includes FIRST MIDWEST SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., HORNOR TOWNSEND & KENT LLC, JOSEPHTHAL & CO. INC., 1717 CAPITAL MANAGEMENT COMPANY, PRUCO SECURITIES LLC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2002 - August 7, 2003
FIRST MIDWEST SECURITIES, INC.
July 13, 1999 - June 21, 2002
AMERICAN INVESTMENT SERVICES, INC.
September 19, 1995 - March 25, 1999
HORNOR, TOWNSEND & KENT, LLC
August 1, 1995 - September 22, 1995
JOSEPHTHAL & CO., INC.
February 24, 1993 - July 24, 1995
1717 CAPITAL MANAGEMENT COMPANY
November 19, 1986 - July 14, 1992
PRUCO SECURITIES, LLC.
January 21, 1986 - October 1, 1986
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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