Patrick Clarke
Professional summary
Patrick Clarke is a registered financial professional currently at RBC CMA LTD located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1988. Patrick has worked at 5 firms and has passed the Series 63, Series 52TO, Series 22TO, Series 57TO, Series 6TO, Series 99TO, Series 82TO, SIE, Series 55, Series 3, Series 7, Series 39, Series 26, Series 14, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Clarke's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2002 - Present
RBC CMA LTD
Office #1: 200 Vesey Street 14th Floor, New York, NY 10281February 29, 2008 - March 11, 2016
RBC CAPITAL MARKETS, LLC
July 20, 1998 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 31, 1995 - August 7, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
October 19, 1988 - January 24, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/25/2021)
(1/2/2003)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
RBC CMA LTD
CRD#: 121263 / SEC#: , 8-65401
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
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.
