Joni Clark
Professional summary
Joni Clark, CFA, CFP®, who also goes by Joni Leigh Clark, Joni Leigh Clark Rothhammer, Joni Clark Rothhammer, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in New York, New York.
Joni is registered as a RR (Registered Representative) and started their career in finance in 1989. Joni has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joni Clark's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2019 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 320 Park Avenue, New York, NY 10022February 5, 2019 - November 20, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 8, 2007 - April 23, 2008
THE WEALTH COLLABORATIVE, INC.
September 30, 2004 - March 28, 2016
LORING WARD SECURITIES INC.
September 28, 2004 - January 12, 2017
LWI FINANCIAL INC.
September 3, 2002 - September 30, 2004
LORING WARD CAPITAL MANAGEMENT INC.
April 16, 2002 - July 15, 2002
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 26, 1998 - April 17, 2001
LEGG MASON WOOD WALKER, INCORPORATED
December 13, 1995 - October 23, 1998
WILSHIRE ASSOCIATES INCORPORATED
November 22, 1989 - September 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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