MC
Michael S. Clark
PERSHING LLC
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 2660320
MC
Professional summary
Michael Stuart Clark, who also goes by Mike Clark, is a registered financial advisor currently at PERSHING LLC located in Lake Mary, Florida and BNY MELLON CAPITAL MARKETS, LLC located in Lake Mary, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 9 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 3, Series 9, Series 10 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Clark
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Stuart Clark's 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®
NoneExperience
Current
October 26, 2011 - Present
PERSHING LLC
Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746Office #2: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 7560
Lake Mary, FL
Current
October 9, 2023 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 17454
Lake Mary, FL
Past
June 22, 2009 - November 15, 2010
CLARK CAPITAL CONSULTING, LLC
RIA
CRD#: 149218
MAITLAND, FL
Past
February 27, 2007 - October 22, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ORLANDO, FL
Past
February 22, 2007 - October 22, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ORLANDO, FL
Past
December 5, 2006 - February 1, 2007
M.L. STERN & CO., LLC.
BD
CRD#: 8327
SACRAMENTO, CA
Past
December 1, 2006 - February 1, 2007
M.L. STERN & CO., LLC.
RIA
CRD#: 8327
SACRAMENTO, CA
Past
September 1, 2005 - October 17, 2006
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
SACRAMENTO, CA
Past
July 28, 2005 - October 17, 2006
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
SAN ANTONIO, TX
Past
December 23, 1999 - December 2, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 4, 1999 - November 22, 1999
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
October 3, 1995 - January 4, 1999
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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
Alabama(6/23/2025)
RR
Alaska(6/27/2025)
RR
Arizona(6/27/2025)
RR
Arkansas(6/30/2025)
RR
California(6/24/2025)
RR
Colorado(6/24/2025)
RR
Connecticut(6/23/2025)
RR
Delaware(6/24/2025)
RR
District of Columbia(6/23/2025)
RR
Florida(9/19/2012)
RR
Georgia(6/24/2025)
RR
Hawaii(7/29/2025)
RR
Idaho(6/23/2025)
RR
Illinois(6/27/2025)
RR
Indiana(6/25/2025)
RR
Iowa(7/10/2025)
RR
Kansas(6/23/2025)
RR
Kentucky(6/24/2025)
RR
Louisiana(7/2/2025)
RR
Maine(6/25/2025)
RR
Maryland(6/26/2025)
RR
Massachusetts(6/26/2025)
RR
Michigan(6/25/2025)
RR
Minnesota(6/23/2025)
RR
Mississippi(6/26/2025)
RR
Missouri(7/18/2025)
RR
Montana(7/15/2025)
RR
Nebraska(6/23/2025)
RR
Nevada(6/23/2025)
RR
New Hampshire(6/30/2025)
RR
New Jersey(9/20/2021)
RR
New Mexico(6/24/2025)
RR
New York(6/28/2025)
RR
North Carolina(6/24/2025)
RR
North Dakota(6/30/2025)
RR
Ohio(6/27/2025)
RR
Oklahoma(6/23/2025)
RR
Oregon(6/25/2025)
RR
Pennsylvania(6/23/2025)
RR
Puerto Rico(7/14/2025)
RR
Rhode Island(6/23/2025)
RR
South Carolina(6/23/2025)
RR
South Dakota(6/23/2025)
RR
Tennessee(6/24/2025)
RR
Texas(6/23/2025)
RR
Utah(6/23/2025)
RR
Vermont(6/23/2025)
RR
Virgin Islands(6/25/2025)
RR
Virginia(6/23/2025)
RR
Washington(6/23/2025)
RR
West Virginia(6/25/2025)
RR
Wisconsin(7/2/2025)
RR
Wyoming(6/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/4/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454Lake Mary, FL 32746TRUST BUT VERIFY
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