David L. Clark
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.
David Lee Clark was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1998. David had worked at 9 firms and has passed the Series 66, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2004 - March 3, 2006
WAMU INVESTMENTS, INC.
November 20, 2003 - January 5, 2005
REFCO SECURITIES, LLC
October 14, 2002 - December 31, 2003
CHOICE INVESTMENTS, INC.
August 26, 2002 - September 17, 2002
SPC
February 28, 2002 - September 17, 2002
PARKLAND SECURITIES, LLC
August 6, 2001 - February 28, 2002
THE ADVISORS GROUP, INC.
December 21, 2000 - June 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1999 - December 31, 2000
PRINCIPAL SECURITIES, INC.
May 14, 1998 - April 19, 1999
PRUCO 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
Exams
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
