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Paula J. Clark

CAPITAL MANAGEMENT PARTNERS
Fairfield, IA 52556
Some features on this profile are disabled
CRD#: 1664016
PC

Professional summary

Paula Jean Clark, who also goes by Paula Clark, is a registered financial professional currently at CAPITAL MANAGEMENT PARTNERS, INC. located in Fairfield, Iowa.

Paula is registered as a RR (Registered Representative) and started their career in finance in 1988. Paula has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 22 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paula 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 Paula Jean 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

July 8, 1988 - Present

CAPITAL MANAGEMENT PARTNERS, INC.

Office #1: 1100 North Fourth Street Suite 141, Fairfield, IA 52556
BD
CRD#: 21973
Fairfield, IA

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
Florida
(7/12/1988)
RR
Iowa
(5/15/1997)
RR
Massachusetts
(11/15/1994)

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 7/7/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/13/1987
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT PARTNERS, INC.
CAPITAL MANAGEMENT PARTNERS, INC.

CRD#: 21973 / SEC#: , 8-39446

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1100 North Fourth Street Suite 141, Fairfield, IA 52556
Mailing Address
1100 North 4th Street Suite 141, Fairfield, IA 52556
Phone number
(641) 472-8800
Established
Delaware since 12/11/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RUBIN, STEVEN LAWRENCEDIRECTOR1812223
ECOB, PETER BARTLETTCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER4539865

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

CAPITAL MANAGEMENT PARTNERS, INC.

CRD#: 21973Fairfield, IA 52556

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