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Brian J. Clark

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CRD#: 4184458
BC

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.

Brian James Clark was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 11 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 6, 2020 - October 31, 2022

IOI CAPITAL AND MARKETS, LLC

BD
CRD#: 290944
HOUSTON, TX
Past

November 23, 2016 - January 4, 2019

TONTINE INVESTMENT GROUP, LLC

BD
CRD#: 155457
SELDEN, NY
Past

January 3, 2013 - December 5, 2014

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
WILDOMAR, CA
Past

January 3, 2013 - December 5, 2014

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

April 27, 2011 - January 4, 2013

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

May 5, 2009 - April 1, 2011

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
TEMECULA, CA
Past

March 4, 2009 - April 1, 2011

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
TEMECULA, CA
Past

December 17, 2007 - January 9, 2009

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
NEW YORK, NY
Past

January 10, 2007 - December 19, 2007

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS
Past

August 7, 2003 - November 15, 2006

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

July 9, 2001 - June 2, 2003

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

May 26, 2000 - July 18, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/3/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/2000
General Securities Representative Examination

Current Firm

IC
IOI CAPITAL AND MARKETS, LLC
IOI CAPITAL AND MARKETS, LLC

CRD#: 290944 / SEC#: , 8-70045

BD
Terminated by SEC on 10/11/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/06/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IOWNIT CAPITAL AND MARKETS, INC.MANAGING MEMBER
KURBANOV, RASHADCHIEF COMPLIANCE OFFICER3201772
KURBANOV, RASHADCHIEF EXECUTIVE OFFICER3201772
SINELNIKOV, PETER SERGEYFINOP6493208

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

IOI CAPITAL AND MARKETS, LLC

CRD#: 290944

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