Timothy R. Clark
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CRD#: 2089775
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Roger Clark was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2002. Timothy had worked at 3 firms and has passed the Series 65, Series 6, Series 3 and Series 53 exams.
Biography
Timothy Clark has a B.A. in Economics from Harvard University (1985) and an M.B.A. in Finance from New York University (1990).
In addition to working with clients, he is very involved in the community. In particular, he is active in the area of helping to secure affordable housing for residents in Westchester County, New York, one of the most expensive areas of the country to live.
He serves as President of the Board at A-HOME, a 20 year old affordable housing non-profit organization in northern Westchester County, NY. He also serves as Co-Chair of the Board at NYC Community Development Corporation, an entity that serves the under-employed and disadvantaged in southern Westchester County, NY.
He is married with 5 children (three boys and twin girls).
Question & Answer
Do you have an area of expertise or specialization?
Charitable Giving
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
Middle Income Client Needs
Retirement Plan Investment Adv...
Are you a "fiduciary"?
No
Aliases
None
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.
(1.) NAME OF OBA: AMICUS FUND; ADDRESS OF OBA: 1333A NORTH AVENUE, NEW ROCHELLE, NY 10804; NATURE: HOUSING NON-PROFIT 501(C); INVESTMENT-RELATED: NO; TITLE WITH OBA: BOARD; DUTIES: BOARD MEETINGS; START DATE: 01/01/2020; APPROX. NUMBER OF HOURS/MONTH: 5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1; (2.) NAME OF OBA: TRUSTEE FOR CLOSE PERSONAL FRIENDS; ADDRESS OF OBA: PRIVATE RESIDENCES; NATURE: NAMED AS TRUSTEE AND CO-TRUSTEE FOR CLOSE PERSONAL FRIENDS; INVESTMENT-RELATED: YES; RELATIONSHIP WITH OBA: TRUSTEE; DUTIES: INDIVIDUAL TRUSTEE SERVING ALONG WITH AN ADMINISTRATIVE TRUSTEE ON VARIOUS TRUSTS; CO-INDIVIDUAL TRUSTEE ON VARIOUS TRUSTS; INDIVIDUAL TRUSTEE FOR VARIOUS TRUSTS, ALL OF CLOSE PERSONAL FRIENDS; START DATE: 01/01/2002; APPROX. NUMBER OF HOURS/MONTH: 10; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 3
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®
NoneExperience
Past
January 3, 2022 - April 1, 2025
MODERA WEALTH MANAGEMENT, LLC
RIA
CRD#: 155649
NEW YORK, NY
Past
February 27, 2004 - January 3, 2022
GREYSTONE WEALTH ADVISORS LLC
RIA
CRD#: 126020
NEW ROCHELLE, NY
Past
January 17, 2002 - January 6, 2005
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MODERA WEALTH MANAGEMENT, LLC
MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
RIA
Registered Investment Advisory firm - (11/16/2010 Approved)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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MODERA WEALTH MANAGEMENT, LLC
MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
RIA
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Contact information
Main Address
56 Jefferson Avenue, Westwood, NJ 07675
Mailing Address
Phone number
(201) 768-4600
Established
Firm type
Fiscal year end
# of Employees
219
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,833 |
| AUM (Assets Under Management) | $ 15,510,482,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/26/2024 | ||
| 01/25/2023 |
Red Flags
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