Raoul E. 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.
Raoul Edward Clark, who also goes by Raoul E Clark, Raoul Edward Clark, was a registered financial professional .
Raoul is a previously registered financial professional and started their career in finance in 2000. Raoul had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 14 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
November 15, 2024 - May 29, 2025
FORESIDE FINANCIAL SERVICES, LLC
September 3, 2021 - December 31, 2024
SMEAD FUNDS DISTRIBUTORS, LLC
April 29, 2011 - May 11, 2021
ABERDEEN FUND DISTRIBUTORS, LLC
December 14, 2005 - April 28, 2011
HORNOR, TOWNSEND & KENT, LLC
December 14, 2005 - April 28, 2011
HORNOR, TOWNSEND & KENT, LLC
August 13, 2004 - December 2, 2005
AMERITAS INVESTMENT COMPANY, LLC
October 31, 2003 - December 2, 2005
AMERITAS INVESTMENT COMPANY, LLC
January 2, 2001 - October 31, 2003
THE ADVISORS GROUP, INC.
July 18, 2000 - January 3, 2001
GROVE POINT INVESTMENTS, 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
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
