Christopher R. 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.
Christopher Rolfe Clark, who also goes by Chris Clark, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 7 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - July 1, 2016
CASTLEVIEW PARTNERS, LLC
November 1, 2013 - August 17, 2015
BOK FINANCIAL SECURITIES, INC.
January 10, 2012 - July 26, 2012
CALABASH INVESTMENTS
January 20, 2010 - December 31, 2011
CALABASH INVESTMENTS
January 14, 2003 - August 31, 2004
HILLTOP SECURITIES INC.
November 8, 2000 - April 3, 2002
CREDIT SUISSE SECURITIES (USA) LLC
February 24, 2000 - April 4, 2002
PERSHING LLC
April 13, 1999 - November 19, 1999
PROSPERA FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
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
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,133 |
| AUM (Assets Under Management) | $ 331,233,271 |
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.
