Thomas G. 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.
Thomas Gregory Clark, who also goes by Greg Clark, Gregory Clark, T Greg Clark, T Greg, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2019 - January 4, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 2017 - February 8, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 2010 - December 2, 2014
INVEST FINANCIAL CORPORATION
November 5, 2010 - December 2, 2014
INVEST FINANCIAL CORPORATION
October 24, 2008 - December 2, 2009
INVEST FINANCIAL CORPORATION
October 24, 2008 - December 2, 2009
INVEST FINANCIAL CORPORATION
September 15, 2006 - October 31, 2008
UBS FINANCIAL SERVICES INC.
September 15, 2006 - October 31, 2008
UBS FINANCIAL SERVICES INC.
July 1, 2006 - September 19, 2006
J.P. MORGAN SECURITIES INC.
March 14, 2002 - September 21, 2006
BANC ONE SECURITIES CORPORATION
March 1, 2002 - July 1, 2006
BANC ONE SECURITIES CORPORATION
May 10, 2001 - February 22, 2002
FIFTH THIRD SECURITIES, INC.
October 4, 1999 - May 4, 2001
PNC BROKERAGE CORP
June 3, 1999 - October 8, 1999
BANC ONE SECURITIES CORPORATION
June 30, 1997 - June 11, 1999
PNC BROKERAGE CORP
June 1, 1996 - July 1, 1997
NATCITY INVESTMENTS, INC.
October 3, 1995 - July 9, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
August 29, 1995 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
January 19, 1995 - September 5, 1995
ONB INVESTMENT SERVICES, INC.
May 6, 1994 - January 9, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
January 24, 1994 - January 18, 1995
NATIONAL CITY INVESTMENTS CORPORATION
September 29, 1993 - January 26, 1994
LIBERTY INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
