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HG

H Clark Gaines Jr

ETHOS FINANCIAL GROUP
CHARLESTON, SC 29403
Some features on this profile are disabled
CRD#: 3245027
HG

Professional summary

H Clark Gaines Jr, who also goes by Howard Clark Gaines, is a registered financial advisor currently at ETHOS FINANCIAL GROUP, LLC located in Charleston, South Carolina.

H Clark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. H Clark has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Howard Clark Gaines

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view H Clark Gaines Jr's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 5, 2025 - Present

ETHOS FINANCIAL GROUP, LLC

Office #1: 850 Morrison Drive Suite 375, Charleston, SC 29403
RIA
CRD#: 321748
CHARLESTON, SC
Past

March 18, 2016 - December 5, 2025

ALMANACK INVESTMENT PARTNERS

RIA
CRD#: 282428
Charleston, SC
Past

January 10, 2014 - February 29, 2016

THIRTYNORTH INVESTMENTS, LLC

RIA
CRD#: 155355
BATON ROUGE, LA
Past

November 30, 2012 - January 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BATON ROUGE, LA
Past

October 18, 2012 - January 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BATON ROUGE, LA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
ETHOS FINANCIAL GROUP, LLC
AB GROUP | VERITY WEALTH ADVISORS | STILLWATER PARTNERS | PETERS WEALTH ADVISORS | MICHAEL MALONE INVESTMENT ADVISORY | MARSINI ESTATE & WEALTH | JAMES W. JUDGE IV | FRONT STREET FINANCIAL | ETHOS FINANCIAL GROUP, LLC | ETHOS FAMILY OFFICE | COHESION PARTNERS | CHAPWOOD INVESTMENTS | ASCENDANT 360 | ALPHA WHISKEY

CRD#: 321748 / SEC#: 801-125779

RIA
Registered Investment Advisory firm - (6/2/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
South Carolina
(12/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/2012
General Securities Representative Examination

Current Firm

EF
ETHOS FINANCIAL GROUP, LLC
AB GROUP | VERITY WEALTH ADVISORS | STILLWATER PARTNERS | PETERS WEALTH ADVISORS | MICHAEL MALONE INVESTMENT ADVISORY | MARSINI ESTATE & WEALTH | JAMES W. JUDGE IV | FRONT STREET FINANCIAL | ETHOS FINANCIAL GROUP, LLC | ETHOS FAMILY OFFICE | COHESION PARTNERS | CHAPWOOD INVESTMENTS | ASCENDANT 360 | ALPHA WHISKEY

CRD#: 321748 / SEC#: 801-125779

RIA
Registered Investment Advisory firm - (6/2/2022 Approved)
PREMIUM
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Contact information

Main Address
2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 822-5246
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts4,692
AUM (Assets Under Management)$ 2,061,300,878

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.

Company Information

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748Charleston, SC 29403

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