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RC

Robert J. Clark

Some features on this profile are disabled
CRD#: 47828
RC

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.

Robert John Clark was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1971. Robert had worked at 6 firms and has passed the Series 65, Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 27, 2007 - December 15, 2009

CULLUM & BURKS SECURITIES, INC.

RIA
CRD#: 46600
CARLSBAD, CA
Past

February 27, 2007 - December 15, 2009

CULLUM & BURKS SECURITIES, INC.

BD
CRD#: 46600
CARLSBAD, CA
Past

March 17, 2004 - March 7, 2007

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
CARLSBAD, CA
Past

March 17, 2004 - March 7, 2007

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
CARLSBAD, CA
Past

June 25, 2001 - March 19, 2004

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
SANTA ANA, CA
Past

November 30, 2000 - December 18, 2000

ACCELERATED CAPITAL GROUP

BD
CRD#: 41270
COSTA MESA, CA
Past

November 29, 1999 - March 19, 2004

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

February 11, 1992 - November 23, 1999

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

April 5, 1983 - March 6, 1991

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

August 24, 1971 - April 11, 1983

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600

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: 12/1/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 8/19/1971
Registered Representative Examination

Current Firm

C&
CULLUM & BURKS SECURITIES, INC.
COVENANT FINANCIAL SERVICES | WEALTH MANAGEMENT GROUP | SMILEY ELMORE AND ASSOCIATES | RIGHT CHOICE FINANCIAL | MEGA CAPITAL | KNS SOLUTIONS, INC. | INSIGHT FINANCIAL GROUP | HOPPER FINANCIAL SERVICES | HLW ADVISORS | GANNETT GROUP/AIRPARK | FLEMING, OLIVER, AND ASSOCIATES | FINANCIAL DESTINY | CULLUM & BURKS SECURITIES, INC.

CRD#: 46600 / SEC#: , 8-51487

BD
Terminated by SEC on 07/19/2010
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 11/13/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CULLUM & BURKS, INC.100% SHAREHOLDER
BURKS, STEVEN LYNNPRESIDENT/CHIEF LEGAL AND OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER1466048
CULLUM, THOMAS TIMOTHYCHAIRMAN/CEO/SECRETARY58464
KELL, WILLIAM DAVIDVP/SROP1919035

Disclosures

Regulatory Event4
Civil Event1
Arbitration3

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

CULLUM & BURKS SECURITIES, INC.

CRD#: 46600

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