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Carlos A. Clarke

NETWORK 1 FINANCIAL SECURITIES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2580856
CC

Professional summary

Carlos Alphonso Clarke is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 1998. Carlos has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Carlos Alphonso Clarke's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 4, 2014 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701
BD
CRD#: 13577
Red Bank, NJ
Past

October 25, 2012 - December 23, 2014

HALCYON CABOT PARTNERS, LTD.

BD
CRD#: 32664
NEW YORK, NY
Past

July 8, 2010 - October 26, 2012

LAMPERT CAPITAL MARKETS INC.

BD
CRD#: 103725
NEW YORK, NY
Past

March 1, 2007 - December 4, 2008

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
NEW YORK, NY
Past

June 10, 2005 - February 28, 2007

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

September 27, 2002 - February 26, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

August 23, 2001 - November 22, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

April 10, 2001 - August 30, 2001

DPEC CAPITAL, INC.

BD
CRD#: 103737
NEW YORK, NY
Past

January 8, 2001 - August 22, 2001

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

June 27, 2000 - February 2, 2001

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY
Past

December 2, 1998 - July 3, 2000

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

August 21, 1998 - December 8, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

August 4, 1998 - August 5, 1998

WALSH MANNING SECURITIES, LLC

BD
CRD#: 30826

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/4/2014)
RR
Florida
(2/2/2024)
RR
Georgia
(1/23/2015)
RR
New Jersey
(9/15/2017)
RR
New York
(12/4/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

N1
NETWORK 1 FINANCIAL SECURITIES INC.
ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Mailing Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Phone number
(732) 758-9001
Established
Texas since 03/15/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNTSHAREHOLDER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
HUNT, WILLIAM RICHARD JRDIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE830575
TESTAVERDE, DAMON DOMENICVICE PRESIDENT444453

Disclosures

Regulatory Event21
Arbitration4

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

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577Red Bank, NJ 07701

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