Oliver 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.
Oliver Perry Clark III, who also goes by Oliver Perry Clark, was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 1969. Oliver had worked at 7 firms and has passed the Series 63, 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
December 23, 1982 - January 3, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
April 8, 1981 - October 6, 1982
THOMSON MCKINNON SECURITIES INC.
May 19, 1980 - November 24, 1980
B.C. CHRISTOPHER SECURITIES CO.
December 23, 1977 - October 23, 1983
SYMON GROUP, LTD.
April 4, 1975 - February 23, 1976
WZW FINANCIAL SERVICES, INC.
April 3, 1974 - April 20, 1975
R. ROWLAND & CO., INCORPORATED
June 5, 1969 - April 20, 1974
REINHOLDT & GARDNER 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: 7/3/1961
Registered Representative ExaminationSeries 40
Date: 3/25/1972
Registered Principal ExaminationCurrent Firm
DREXEL BURNHAM LAMBERT INCORPORATED
CRD#: 7323 / SEC#: , 8-6161
Contact information
Documents
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.
