Roscoe B. 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.
Roscoe Bowman Clark III, who also goes by R B Clark III, was a registered financial professional .
Roscoe is a previously registered financial professional and started their career in finance in 1986. Roscoe had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2003 - March 1, 2016
CLARK FINANCIAL SERVICES GROUP, INC.
September 29, 1995 - January 13, 2016
CUTTER & COMPANY, INC.
November 21, 1986 - October 3, 1995
FFP SECURITIES, INC.
Primary Firm SEC Registration
CLARK FINANCIAL SERVICES GROUP, INC.
CRD#: 110650 / SEC#: 801-50052
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
CLARK FINANCIAL SERVICES GROUP, INC.
CRD#: 110650 / SEC#: 801-50052
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,873 |
| AUM (Assets Under Management) | $ 456,056,104 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 01/13/2025 | ||
| 12/19/2023 | ||
| 01/03/2023 |
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.
