Jeffrey D. Clark

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CRD#: 1580853

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.

Jeffrey Dean Clark, who also goes by Jeff Clark, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 2002. Jeffrey had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff 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) Toukan & Company CPA's; Yes; Westerville, OH; Accounting, Tax, Consulting; Managing Member/ CPA; 02/1992; 115/ MO; 115/MO (2) Insurance Agent; Yes; Westerville, OH; Insurance Sales; Insurance Agent; 1/ MO; 1/MO (3) LPL Financial LLC; yes; Westerville, OH; Advisory Services; Investment Advisor Representative/ Registered Representative; 02/2018; 5/MO; 5/MO

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2023 - January 31, 2025

BRASS TAX WEALTH MANAGEMENT

RIA

CRD#: 285249

Westerville, OH

Past

February 14, 2018 - December 22, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

DUBLIN, OH

Past

February 14, 2018 - December 31, 2024

LPL FINANCIAL LLC

CRD#: 6413

DUBLIN, OH

Past

August 11, 2006 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WESTERVILLE, OH

Past

August 10, 2006 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

WESTERVILLE, OH

Past

August 15, 2002 - July 10, 2006

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

WESTERVILLE, OH

Past

May 20, 2002 - July 10, 2006

MUTUAL SERVICE CORPORATION

CRD#: 4806

WESTERVILLE, OH

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".

BRASS TAX WEALTH MANAGEMENT

CRD#: 285249 / SEC#: 801-111006

RIA

Registered Investment Advisory firm - (8/14/2017 Approved)

Indiana

Registered Investment Advisory firm - (8/17/2017 Terminated)

Ohio

Registered Investment Advisory firm - (8/18/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2002

General Securities Representative Examination

Current Firm

BRASS TAX WEALTH MANAGEMENT

CRD#: 285249 / SEC#: 801-111006

RIA

Registered Investment Advisory firm - (8/14/2017 Approved)

Indiana

Registered Investment Advisory firm - (8/17/2017 Terminated)

Ohio

Registered Investment Advisory firm - (8/18/2017 Terminated)

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Contact information

Main Address

4755 Cornell Road Suite 102a, Cincinnati, OH 45241

Mailing Address

Phone number

(513) 605-3394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,872
AUM (Assets Under Management)	$ 860,227,526

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Jeffrey D. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

BRASS TAX WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2007

Series 63

Date: 4/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2002

Current Firm

BRASS TAX WEALTH MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRASS TAX WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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