SC
Stephen C. Clark
ROYCE FUND SERVICES
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 3093437
SC
Professional summary
Stephen Carine Clark, CFP® is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Stephen Carine 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®
Experience
Current
January 8, 2015 - Present
ROYCE FUND SERVICES, LLC
Office #1: One Madison Avenue 17th Floor, New York, NY 10010BD
CRD#: 14470
NEW YORK, NY
Past
February 15, 2012 - December 16, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
September 6, 2007 - January 5, 2012
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
CHICAGO, IL
Past
May 23, 2005 - November 2, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CHICAGO, IL
Past
March 7, 2003 - July 5, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ST. LOUIS, MO
Past
September 25, 2001 - February 18, 2005
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
March 6, 2001 - September 25, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
August 31, 1998 - March 6, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(11/9/2020)
RR
Alaska(12/21/2021)
RR
Arizona(12/21/2021)
RR
Arkansas(1/8/2015)
RR
California(12/21/2021)
RR
Colorado(12/21/2021)
RR
Connecticut(12/21/2021)
RR
Delaware(12/21/2021)
RR
District of Columbia(12/21/2021)
RR
Florida(12/21/2021)
RR
Georgia(12/21/2021)
RR
Hawaii(12/21/2021)
RR
Idaho(12/21/2021)
RR
Illinois(1/8/2015)
RR
Indiana(1/8/2015)
RR
Iowa(1/8/2015)
RR
Kansas(1/8/2015)
RR
Kentucky(11/9/2020)
RR
Louisiana(11/9/2020)
RR
Maine(12/21/2021)
RR
Maryland(12/21/2021)
RR
Massachusetts(12/21/2021)
RR
Michigan(1/8/2015)
RR
Minnesota(1/8/2015)
RR
Mississippi(12/21/2021)
RR
Missouri(1/8/2015)
RR
Montana(12/21/2021)
RR
Nebraska(1/8/2015)
RR
Nevada(12/21/2021)
RR
New Hampshire(12/21/2021)
RR
New Jersey(12/21/2021)
RR
New Mexico(12/21/2021)
RR
New York(12/21/2021)
RR
North Carolina(11/9/2020)
RR
North Dakota(1/8/2015)
RR
Ohio(1/8/2015)
RR
Oklahoma(1/8/2015)
RR
Oregon(12/21/2021)
RR
Pennsylvania(12/21/2021)
RR
Puerto Rico(12/21/2021)
RR
Rhode Island(12/21/2021)
RR
South Carolina(11/9/2020)
RR
South Dakota(1/8/2015)
RR
Tennessee(12/21/2021)
RR
Texas(1/8/2015)
RR
Utah(12/21/2021)
RR
Vermont(12/21/2021)
RR
Virgin Islands(12/21/2021)
RR
Virginia(12/21/2021)
RR
Washington(12/21/2021)
RR
West Virginia(11/9/2020)
RR
Wisconsin(1/8/2015)
RR
Wyoming(12/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROYCE FUND SERVICES, LLC
QUEST DISTRIBUTORS, INC. | ROYCE FUND SERVICES, LLC | ROYCE FUND SERVICES, INC. | QUEST SECURITIES,INC.
CRD#: 14470 / SEC#: , 8-28663
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Madison Avenue 17th Floor, New York, NY 10010
Mailing Address
One Madison Avenue 17th Floor, New York, NY 10010
Phone number
(212) 508-4500
Established
Delaware since 02/24/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
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.
