Marianne E. 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.
Marianne Eve Clark was a registered financial professional .
Marianne is a previously registered financial professional and started their career in finance in 1992. Marianne had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2016 - December 1, 2016
VICTORY CAPITAL SERVICES, INC.
June 2, 2014 - December 1, 2016
RS FUNDS DISTRIBUTOR LLC
October 6, 2006 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
January 2, 2001 - October 6, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
February 2, 1999 - January 2, 2001
PROVIDENT DISTRIBUTORS, INC.
September 8, 1997 - April 30, 1998
COWEN AND COMPANY
February 11, 1997 - November 3, 1997
SOCGEN-CROSBY SECURITIES INC.
November 9, 1992 - September 2, 1993
FIRST DOMINION CAPITAL CORP.
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
Current Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
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.
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