Christopher J. 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.
Christopher James Thiele Clark, who also goes by Chris Clark, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 4 firms and has passed the 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
January 25, 2010 - November 9, 2020
FFEC WEALTH PARTNERS LLC
January 25, 2010 - November 9, 2020
FFEC WEALTH PARTNERS LLC
February 1, 2008 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 16, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 16, 2002 - January 22, 2008
A. G. EDWARDS & SONS, INC.
January 1, 1999 - July 19, 2002
UBS FINANCIAL SERVICES INC.
August 21, 1986 - July 19, 2002
UBS FINANCIAL SERVICES INC.
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: 11/16/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
