Christopher J. 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 John Clark JR, who also goes by Chris Clark Jr, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 6 firms and has passed the Series 63, Series 7TO, Series 3, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2021 - March 16, 2022
RCM SECURITIES
December 16, 2009 - July 6, 2011
CCM EQUITIES, LLC
May 2, 2002 - June 5, 2008
HIGHTOWER SECURITIES, LLC
August 29, 2001 - March 21, 2002
ACUMENT SECURITIES, INC.
October 6, 1999 - January 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1999 - August 26, 1999
MCDONNELL, INC.
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 7TO
Date: 10/4/2021
General Securities Representative ExaminationCurrent Firm
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
