Jill 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.
Jill Eileen Clark, who also goes by Jill Eileen Clark, was a registered financial professional .
Jill is a previously registered financial professional and started their career in finance in 1968. Jill had worked at 10 firms and has passed the Series 63 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
December 1, 2010 - February 6, 2012
KAUFMAN BROS., L.P.
March 26, 2007 - May 29, 2009
CHASE INVESTMENT SERVICES CORP.
July 21, 2005 - April 10, 2006
B. RILEY WEALTH MANAGEMENT
May 17, 2004 - May 2, 2005
VINING-SPARKS IBG, LLC
August 2, 2002 - November 13, 2002
RED-HORSE SECURITIES, LLC
March 11, 2002 - August 5, 2002
REDWOOD BROKERAGE LLC
March 25, 1999 - February 1, 2002
M. J. WHITMAN, INC.
July 1, 1998 - November 3, 2000
COWEN AND COMPANY
January 14, 1983 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 22, 1968 - October 19, 1981
SALOMON BROTHERS 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
Series 1
Date: 9/26/1966
Registered Representative ExaminationCurrent Firm
KAUFMAN BROS., L.P.
CRD#: 37909 / SEC#: , 8-48183
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLMK CAPITAL MANAGEMENT LLC | LIMITED PARTNER | |
| KAUFMAN, SUSAN GAIL | LIMITED PARTNER | 2620519 |
| KAUFMAN, CRAIG DOUGLAS | HEAD OF CAPITAL MARKETS AND LIMITED PARTNER | 2042355 |
| DURKIN, GERARD ANTHONY | CHIEF FINANCIAL OFFICER AND FINOP PRINCIPAL | 1292336 |
| GURROLA, KENNETH WILLIAM ESQ. | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER AND LIMITED PARTNER | 5657027 |
| KAUFMAN, ROBERT JAY | HEAD OF INVESTMENT BANKING | 2580169 |
| KB MANAGEMENT LLC | GENERAL PARTNER | |
| LORENZO, BENNY | CHAIRMAN, CEO AND DIRECTOR OF RESEARCH | 1888674 |
| ROSS, STUART BERT | LIMITED PARTNER | 2094044 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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