Tomas A. Clarke
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.
Tomas Alberto Clarke was a registered financial professional .
Tomas is a previously registered financial professional and started their career in finance in 2000. Tomas had worked at 8 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2008 - May 7, 2013
DIRECT ACCESS PARTNERS LLC
December 7, 2006 - November 3, 2008
LIGHTHOUSE FINANCIAL GROUP, LLC
December 8, 2005 - October 13, 2006
CARLIN EQUITIES, LLC
October 30, 2002 - December 8, 2005
US TRADING LLC
July 17, 2001 - August 15, 2002
FTC SECURITIES, INC.
March 29, 2001 - June 21, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 2, 2001 - June 4, 2001
THE BENCHMARK COMPANY, LLC
March 15, 2000 - December 31, 2000
THE BENCHMARK COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
