AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BC

Bernard J. Clarke

EQUUS FINANCIAL CONSULTING LLC
New Canaan, CT 06840
Some features on this profile are disabled
CRD#: 2257792
BC

Professional summary

Bernard Joseph Clarke JR, who also goes by Bernie Clarke, is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in New Canaan, Connecticut.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 1992. Bernard has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bernie Clarke

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) - BD

Click below to view Bernard Joseph Clarke JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 29, 2014 - Present

EQUUS FINANCIAL CONSULTING LLC

Office #1: 78 Pine St., Suite 101, New Canaan, CT 06840
BD
CRD#: 131449
New Canaan, CT
Past

June 29, 1998 - October 19, 1999

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 3, 1993 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

September 8, 1992 - April 1, 1993

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/29/2014)
RR
New York
(1/29/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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.

Company Information

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449New Canaan, CT 06840

TRUST BUT VERIFY

Monitor Bernard Clarke

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics