Brian W. Clarke
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 William Clarke was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
May 20, 2014 - July 3, 2019
IFM (US) SECURITIES, LLC
October 20, 2005 - December 3, 2010
MACQUARIE CAPITAL (USA) INC.
April 21, 2003 - October 18, 2005
REFCO SECURITIES, 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
IFM (US) SECURITIES, LLC
CRD#: 166325 / SEC#: , 8-69201
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFM INVESTORS (US), LLC | MEMBER | |
| GARCIA, JULIO FRANCISCO | DIRECTOR | 2910097 |
| GEORGARAKIS, DIMITRIOS | CHIEF OPERATING OFFICER | 6917695 |
| GRUBER, RICHARD EDWARD | CHIEF COMPLIANCE OFFICER | 5256033 |
| KIRSCHENBLAT, CHAD ETHAN | FINANCIAL AND OPERATIONS PRINCIPAL | 2503352 |
| MODY, ANDREA CRAWFORD | CHIEF EXECUTIVE OFFICER | 5409587 |
| RANDALL, RICHARD ALLEN | DIRECTOR | 5395562 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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