Grant H. 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.
Grant H Clark was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 2001. Grant had worked at 3 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2006 - March 28, 2016
CAPITAL & SECURITY MANAGEMENT INC
May 5, 2005 - March 30, 2006
RBC CAPITAL MARKETS, LLC
February 4, 2005 - March 30, 2006
RBC CAPITAL MARKETS, LLC
July 24, 2001 - February 7, 2005
MORGAN STANLEY DW 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
Current Firm
CAPITAL & SECURITY MANAGEMENT INC
CRD#: 108295 / SEC#: 801-22428
Contact information
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.
