James B. Clarke
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.
James Brewster Clarke JR, who also goes by Jimmy Clarke, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 6 firms and has passed the Series 65, Series 63 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
June 6, 2002 - December 18, 2023
ENHANCED ASSET PERFORMANCE, LLC
October 25, 2000 - May 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2000 - May 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 1997 - November 11, 1998
UBS FINANCIAL SERVICES INC.
November 11, 1996 - May 7, 1997
WELLS FARGO CLEARING SERVICES, LLC
May 16, 1996 - September 5, 1996
IDS LIFE INSURANCE COMPANY
May 16, 1996 - September 5, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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
ENHANCED ASSET PERFORMANCE, LLC
CRD#: 120652 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 4,144,458 |
Red Flags
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