RC
Richard W. Clark
QUASAR DISTRIBUTORS
Portland, ME 04101
Some features on this profile are disabled
CRD#: 3165146
RC
Professional summary
Richard William Clark is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Portland, Maine.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31, Series 7 and Series 26 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 Richard William 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®
NoneExperience
Current
July 17, 2001 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 103848
Portland, ME
Past
November 1, 1999 - November 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 11, 1999 - September 11, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(1/30/2004)
RR
Alaska(1/30/2004)
RR
Arizona(1/30/2004)
RR
Arkansas(1/30/2004)
RR
California(1/30/2004)
RR
Colorado(1/30/2004)
RR
Connecticut(1/30/2004)
RR
Delaware(1/30/2004)
RR
District of Columbia(1/30/2004)
RR
Florida(1/30/2004)
RR
Georgia(1/30/2004)
RR
Hawaii(1/30/2004)
RR
Idaho(1/30/2004)
RR
Illinois(1/30/2004)
RR
Indiana(1/30/2004)
RR
Iowa(1/30/2004)
RR
Kansas(1/30/2004)
RR
Kentucky(1/30/2004)
RR
Louisiana(2/4/2004)
RR
Maine(1/30/2004)
RR
Maryland(1/30/2004)
RR
Massachusetts(1/30/2004)
RR
Michigan(1/30/2004)
RR
Minnesota(1/30/2004)
RR
Mississippi(1/30/2004)
RR
Missouri(1/30/2004)
RR
Montana(1/30/2004)
RR
Nebraska(1/30/2004)
RR
Nevada(1/30/2004)
RR
New Hampshire(1/30/2004)
RR
New Jersey(1/30/2004)
RR
New Mexico(1/30/2004)
RR
New York(1/30/2004)
RR
North Carolina(2/2/2004)
RR
North Dakota(1/30/2004)
RR
Ohio(2/2/2004)
RR
Oklahoma(1/30/2004)
RR
Oregon(7/17/2001)
RR
Pennsylvania(1/30/2004)
RR
Puerto Rico(1/30/2004)
RR
Rhode Island(1/30/2004)
RR
South Carolina(1/30/2004)
RR
South Dakota(1/30/2004)
RR
Tennessee(1/30/2004)
RR
Texas(1/30/2004)
RR
Utah(1/30/2004)
RR
Vermont(1/30/2004)
RR
Virgin Islands(7/10/2007)
RR
Virginia(1/30/2004)
RR
Washington(7/17/2001)
RR
West Virginia(1/30/2004)
RR
Wisconsin(1/30/2004)
RR
Wyoming(1/30/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
QUASAR DISTRIBUTORS, LLC
CRD#: 103848Portland, ME 04101TRUST BUT VERIFY
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