Robert Clark
Professional Summary
Robert Clark, who also goes by Robert Fox Clark IV, Robert Fox Clark, is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Scottsdale, Arizona. Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert Fox Clark Iv, Robert Fox Clark
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
Contact Information
Main Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Mailing Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618Phone Number
(602) 732-4745Established
Delaware since 01/08/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
46SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,282AUM (Assets Under Management)
$1,859,651,619Disclosures
Regulatory Event
4Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE LLC
State Registrations and Notice Filings
(3/28/2025)
(3/28/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2002About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Clark's CRS (Customer Relationship Summary).
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