Richard J. 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.
Richard John Clark was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1970. Richard had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 1 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
April 28, 2010 - September 26, 2014
NEWPORT COAST SECURITIES, INC.
April 26, 2010 - September 26, 2014
NEWPORT COAST SECURITIES, INC.
March 10, 2009 - March 26, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
July 27, 2007 - March 26, 2010
J.P. TURNER & COMPANY, L.L.C.
February 15, 2006 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
November 22, 1994 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
August 26, 1987 - October 17, 1994
TOLUCA PACIFIC SECURITIES CORP.
September 10, 1984 - February 11, 1985
R. A. JOHNSON AND COMPANY, INC.
December 11, 1981 - July 16, 1982
FOSTER & MARSHALL INC.
September 26, 1978 - December 26, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 21, 1970 - June 13, 1971
COVEY & CO., INC.
June 2, 1970 - February 11, 1971
C I C SECURITIES
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: 5/21/1969
Registered Representative ExaminationCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
