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EC

Ernest L. Clark

Some features on this profile are disabled
CRD#: 47505
EC

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.

Ernest Lee Clark III, who also goes by Ernest Lee Clark, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1974. Ernest had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest Lee Clark

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 16, 2024 - July 15, 2025

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Raleigh, NC
Past

June 22, 2023 - July 14, 2025

MERIT FINANCIAL ADVISORS

RIA
CRD#: 142457
Raleigh, NC
Past

June 16, 2023 - August 16, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
RALEIGH, NC
Past

February 10, 2012 - June 21, 2023

ADVISORY SERVICES NETWORK

RIA
CRD#: 146051
RALEIGH, NC
Past

February 8, 2012 - June 20, 2023

TRIAD ADVISORS LLC

BD
CRD#: 25803
RALEIGH, NC
Past

January 6, 1995 - February 10, 2012

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
RALEIGH, NC
Past

June 16, 1992 - February 10, 2012

FSC SECURITIES CORPORATION

BD
CRD#: 7461
RALEIGH, NC
Past

October 21, 1985 - June 17, 1992

KAVANAUGH SECURITIES, INC.

BD
CRD#: 10606
DALLAS, TX
Past

September 11, 1981 - November 1, 1985

CARDELL & ASSOCIATES, INCORPORATED

BD
CRD#: 7700
Past

July 1, 1974 - September 4, 1981

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/10/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/24/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/19/1989
General Securities Principal Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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