Steven L. 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.
Steven Lee Clark was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 8 firms and has passed the 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
January 22, 2015 - August 26, 2015
ALTERNA SECURITIES, INC.
April 19, 2010 - January 12, 2012
BARCLAY INVESTMENTS LLC
May 15, 2009 - March 17, 2010
BANC OF AMERICA SECURITIES LLC
August 24, 1998 - May 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1998 - April 2, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
August 7, 1997 - January 14, 1998
TULLETT LIBERTY BROKERAGE INC.
August 6, 1997 - April 2, 1998
LIBERTY BROKERS
May 1, 1995 - January 31, 1996
CHAPDELAINE CORPORATE SECURITIES & CO
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
ALTERNA SECURITIES, INC.
CRD#: 41139 / SEC#: , 8-49311
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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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