Stephen A. Clark
Professional summary
Stephen Austin Clark, who also goes by Steve Clark, is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 4 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Austin Clark's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2023 - Present
CHATSWORTH SECURITIES LLC
Office #1: 95 East Putnam Avenue, Greenwich, CT 06830June 4, 2015 - September 10, 2018
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 2008 - June 15, 2015
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 6, 1996 - June 2, 2008
J.P. MORGAN SECURITIES 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
(9/26/2023)
(10/3/2023)
Exams
Series 82TO
Date: 2/15/2024
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 9/21/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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