Edward P. 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.
Edward Paul Clark, who also goes by Ed Clark, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 15 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 4, Series 53 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
October 29, 2010 - December 21, 2012
CETERA WEALTH SERVICES, LLC
September 28, 2010 - December 21, 2012
CETERA WEALTH SERVICES, LLC
June 25, 2009 - October 15, 2010
ALLEGIANT FINANCIAL ADVISORS, LLC
June 25, 2009 - October 15, 2010
ALLEGIANT SECURITIES L.L.C.
July 20, 2006 - October 31, 2008
SECURITIES AMERICA ADVISORS, INC.
July 20, 2006 - October 31, 2008
SECURITIES AMERICA, INC.
October 31, 2005 - July 31, 2006
OSAIC SERVICES, INC.
October 31, 2005 - July 31, 2006
OSAIC SERVICES, INC.
November 9, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 9, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 2, 1998 - November 15, 2001
JOSEPHTHAL & CO., INC.
January 23, 1998 - October 5, 1998
H.J. MEYERS & CO., INC.
April 21, 1993 - January 29, 1998
PROSPERA FINANCIAL SERVICES, INC.
October 31, 1984 - April 14, 1993
HILLTOP SECURITIES INC.
February 4, 1981 - March 11, 1985
FIRST SAN ANTONIO SECURITIES, INC.
July 25, 1980 - February 26, 1981
HILLTOP SECURITIES INC.
August 10, 1978 - August 18, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 15, 1975 - August 23, 1978
WHITE, WELD & CO. INCORPORATED
February 6, 1970 - January 15, 1975
WHITE, WELD & 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
PC
Date: 1/21/1981
AMEX Put and Call ExamSeries 1
Date: 9/17/1956
Registered Representative ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
