Kevin Clark
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.
Kevin Clark, who also goes by Kevin Dennis Clark, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 6 firms and has passed the Series 63, Series 7TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2019 - January 31, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 23, 2004 - May 4, 2011
FORESIDE FUND SERVICES, LLC
April 9, 2001 - June 24, 2004
FUNDS DISTRIBUTOR, LLC
December 3, 1999 - April 9, 2001
UAM FUND DISTRIBUTORS, INC.
December 11, 1995 - November 6, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
June 12, 1991 - August 11, 1995
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/23/2019
General Securities Representative ExaminationCurrent Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
