Cara W. Clarke
Professional summary
Cara Wagner Clarke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cara is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Cara had worked at 2 firms, which includes MORGAN KEEGAN & COMPANY LLC, TRANS FINANCIAL INVESTMENT SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1998 - September 11, 1998
MORGAN KEEGAN & COMPANY, LLC
May 29, 1997 - October 29, 1998
TRANS FINANCIAL INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
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