Derek C. Clark

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CRD#: 1915567

Professional summary

Derek Charles Clark was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Derek is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Derek had worked at 11 firms, which includes SANDGRAIN SECURITIES LLC, DEUTSCHE BANK SECURITIES INC., J.P. MORGAN SECURITIES INC., HAMBRECHT & QUIST LLC, CROWELL WEEDON & CO., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., DAIN RAUSCHER INCORPORATED, RCL NORTHWEST INC., MARSHALL DAVIS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

D C Johnson | Derek Charles Johnson

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)

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

October 15, 2007 - March 11, 2009

SANDGRAIN SECURITIES LLC

CRD#: 26004

GARDEN CITY, NY

Past

September 6, 2002 - September 26, 2005

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

LOS ANGELES, CA

Past

September 6, 2002 - September 26, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 13, 2000 - September 5, 2002

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

NEWPORT BEACH, CA

Past

February 1, 2000 - September 5, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

July 13, 1998 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

August 15, 1994 - July 14, 1998

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, CA

Past

January 10, 1994 - May 31, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - December 23, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 25, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 6, 1990 - January 1, 1991

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 8, 1989 - December 18, 1990

RCL NORTHWEST, INC.

CRD#: 14101

Past

June 20, 1989 - July 25, 1989

MARSHALL DAVIS, INC.

CRD#: 16278

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Current Firm

SANDGRAIN SECURITIES LLC

SANDGRAIN SECURITIES LLC | SANDGRAIN SECURITIES, INC.

CRD#: 26004 / SEC#: , 8-42262

Terminated by SEC on 09/27/2013

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 12/31/2011

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
KRH AQUISITION LLC	SHAREHOLDER
RAFFERTY HOLDINGS LLC	SHAREHOLDER
HAY, KATHLEEN RAFFERTY	PRESIDENT, CEO	5045127
NAPOLITANO, ANTHONY FRIED	CHIEF COMPLIANCE OFFICER
SPRAGUE, STEPHEN PACKARD	FINOP	2516579

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Firm Stability Insights

Derek C. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

CROWELL, WEEDON & CO.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

DAIN RAUSCHER INCORPORATED

RCL NORTHWEST, INC.

MARSHALL DAVIS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1999

Series 63

Date: 7/12/1989

Series 7

Date: 6/17/1989

Current Firm

SANDGRAIN SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SANDGRAIN SECURITIES LLC

TRUST BUT VERIFY

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