William J. 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.
William John Clark, who also goes by Bill Clark, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2019 - December 20, 2019
KIPLING JONES & CO., LTD.
February 2, 2016 - July 11, 2017
KROLL SECURITIES LLC
January 29, 2009 - September 2, 2015
ARCOLA SECURITIES, INC.
April 30, 2008 - July 18, 2008
BNY MELLON CAPITAL MARKETS, LLC
December 11, 2007 - April 30, 2008
BNY CAPITAL MARKETS INC.
January 31, 2005 - November 26, 2007
FHN FINANCIAL SECURITIES CORP.
June 11, 2003 - January 11, 2005
ICAP SECURITIES USA LLC
June 19, 2000 - January 11, 2005
BROKERTEC AMERICAS LLC
May 4, 2000 - June 12, 2000
NATIONAL FINANCIAL SERVICES LLC
August 26, 1999 - February 14, 2000
AUBREY G. LANSTON & CO., INC.
November 3, 1998 - August 24, 1999
ANZ SECURITIES, INC.
June 20, 1995 - June 26, 1998
TOKAI SECURITIES, INC.
November 22, 1994 - September 27, 1995
CITICORP INVESTMENT SERVICES
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
Series 55
Date: 6/22/2007
Limited Representative-Equity Trader ExamCurrent Firm
KIPLING JONES & CO., LTD.
CRD#: 144730 / SEC#: , 8-67672
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RJJ HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| LINE STREET HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| JONESCAP, LLC | GENERAL PARTNER | |
| ROACH, ROBERT GARFIELD JR | DESIGNATED PRINCIPAL & CCO | 2731222 |
Disclosures
| Regulatory Event | 9 |
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.
