John W. 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.
John Warren Clark was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2014 - October 22, 2014
LONDON & PACIFIC CAPITAL ADVISORS, LLC
April 11, 2013 - August 13, 2013
VIANT CAPITAL LLC
May 6, 1997 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
October 20, 1987 - March 26, 1997
UBS SECURITIES LLC
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
Current Firm
LONDON & PACIFIC CAPITAL ADVISORS, LLC
CRD#: 142901 / SEC#: , 8-67507
Contact information
Documents
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.
