David 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.
David Eugene Clark was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 18 firms and has passed the Series 63, Series 3, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2004 - December 31, 2005
SPENCER EDWARDS, INC.
November 12, 2003 - March 8, 2004
VARIABLE ASSET STRATEGIES, INC.
November 30, 1998 - January 14, 2002
PEREGRINE FINANCIALS & SECURITIES, INC.
July 16, 1998 - September 18, 1998
SYTEK SECURITIES CORP.
February 24, 1995 - August 31, 1995
H.J. MEYERS & CO., INC.
January 18, 1995 - February 14, 1995
PAULSON INVESTMENT COMPANY LLC
December 21, 1993 - December 21, 1994
SUTRO & CO. INCORPORATED
April 14, 1993 - December 14, 1993
CROWELL, WEEDON & CO.
February 6, 1992 - February 16, 1993
GRUNTAL & CO., L.L.C.
September 29, 1989 - January 7, 1992
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1989 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
December 20, 1988 - May 8, 1989
FINANCIAL SQUARE PARTNERS
March 15, 1988 - January 1, 1989
J.P. MORGAN SECURITIES LLC
November 27, 1987 - April 14, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
September 26, 1985 - November 16, 1987
LEHMAN BROTHERS INC.
April 10, 1979 - September 16, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - February 17, 1979
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 3, 1972 - December 20, 1974
LINCOLN FINANCIAL DISTRIBUTORS, 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
PC
Date: 3/13/1990
AMEX Put and Call ExamSeries 1
Date: 10/26/1972
Registered Representative ExaminationCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
