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KC

Kevin J. Clark

LUCID CAPITAL MARKETS
New York, NY 10006
CRD#: 1510992
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KC
Kevin Joseph ClarkLUCID CAPITAL MARKETS

Professional summary


Kevin Joseph Clark, who also goes by Kevin Clark, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Kevin 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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Kevin Joseph 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

May 6, 2026 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006
BD
CRD#: 140345
New York, NY
Past

January 31, 2023 - March 6, 2026

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
STAMFORD, CT
Past

September 21, 2020 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

May 27, 2019 - October 29, 2020

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
Manasquan, NJ
Past

November 19, 2013 - October 2, 2017

MKM PARTNERS LLC

BD
CRD#: 114666
RED BANK, NJ
Past

June 4, 2002 - October 23, 2013

CANTOR FITZGERALD & CO.

BD
CRD#: 134
SHREWSBURY, NJ
Past

March 23, 1998 - May 10, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 28, 1994 - March 13, 1998

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY

State Registrations and Notice Filings


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

RR
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

RR
New Jersey
(5/6/2026)
RR
New York
(5/6/2026)

Exams


State Security Law Exam
RR
Series 63
Date: 9/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm


LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)


Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures


Regulatory Event1

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.

Company Information


LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10006

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