Michael P. 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.
Michael Patrick Clark was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2016 - May 26, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 18, 2008 - October 27, 2014
CANTOR FITZGERALD & CO.
June 7, 2004 - March 26, 2007
VAN DER MOOLEN SPECIALISTS USA, 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
Series 21
Date: 4/20/2005
NYSE Front Line Specialist ClerkSeries 25
Date: 10/7/2004
NYSE Trading Assistant ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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