Patrick Clarke
Professional Summary
Patrick Clarke is a registered financial advisor 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC
Contact Information
Main Address
Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGNMailing Address
3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281Phone Number
(212) 858-7000Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | — |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| HAGGERTY, KEVIN BERNARD | PRINCIPAL OPERATIONS OFFICER | 3125010 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL FINANCIAL OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/25/2021)
(1/2/2003)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2002About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2002About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Clarke's CRS (Customer Relationship Summary).
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