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Sean P. Clarke

Some features on this profile are disabled
CRD#: 2445617
SC

Professional summary

Sean Patrick Clarke was a registered financial advisor .

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Sean had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 1998 - January 2, 2018

1ST BCCW CAPITAL CORP

BD
CRD#: 34380
BEDFORD, NH
Past

October 27, 1997 - December 31, 2025

BCAS

RIA
CRD#: 105666
BEDFORD, NH
Past

January 19, 1996 - May 12, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 20, 1994 - August 3, 1995

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTLAND, ME

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Maine
(7/18/2016)
IAR
Massachusetts
(12/5/2017)
IAR
New Hampshire
(10/27/1997)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/25/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/20/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/29/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/18/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

1B
1ST BCCW CAPITAL CORP
1ST BCCW CAPITAL CORP | BALDWIN & CLARKE CAPITAL MARKETS, INC.

CRD#: 34380 / SEC#: , 8-46379

BD
Terminated by SEC on 02/13/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New Hampshire since 06/30/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BALDWIN, CHARLES HENRYDIRECTOR & SHAREHOLDER11143
CLARKE, JOHN JOSEPH JRDIRECTOR, PRESIDENT, SHAREHOLDER, AND CHIEF COMPLIANCE OFFICER1048942
HARRIS, VLADIMIRCO CHIEF COMPLIANCE OFFICER2380319

Disclosures

Regulatory Event1

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

1ST BCCW CAPITAL CORP

CRD#: 34380

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