Alexander M. 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.
Alexander Meeker Clark was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1972. Alexander had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2010 - July 18, 2019
GRIFFIN FINANCIAL GROUP, LLC
December 1, 2009 - November 8, 2010
MADISON WILLIAMS AND COMPANY
March 17, 2006 - December 16, 2009
SANDERS MORRIS LLC
January 22, 1994 - February 8, 2006
ADVEST, INC.
April 10, 1992 - October 20, 1993
PHOENIX DERIVATIVES GROUP, LLC
June 19, 1990 - July 13, 1990
SPRINGER INVESTMENT & SECURITIES CO., INC.
March 27, 1990 - June 26, 1990
M.J. LOESER & CO., INC.
January 4, 1988 - February 24, 1990
MCKINLEY ALLSOPP, INC.
May 20, 1986 - December 3, 1987
MOSELEY SECURITIES CORPORATION
April 25, 1977 - January 30, 1978
PHILO SMITH & CO., INC.
October 31, 1973 - October 30, 1976
EVANS & CO., INC.
May 16, 1973 - April 2, 1974
DEAN WITTER & CO. INCORPORATED
May 10, 1972 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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 1
Date: 7/19/1962
Registered Representative ExaminationSeries 40
Date: 3/23/1970
Registered Principal ExaminationCurrent Firm
GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
Contact information
FINRA licenses (51 States and Territories)
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.
