Robert 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2007 - December 15, 2009
CULLUM & BURKS SECURITIES, INC.
February 27, 2007 - December 15, 2009
CULLUM & BURKS SECURITIES, INC.
March 17, 2004 - March 7, 2007
UNITED SECURITIES ALLIANCE, INC.
March 17, 2004 - March 7, 2007
UNITED SECURITIES ALLIANCE, INC.
June 25, 2001 - March 19, 2004
PARK AVENUE SECURITIES LLC
November 30, 2000 - December 18, 2000
ACCELERATED CAPITAL GROUP
November 29, 1999 - March 19, 2004
PARK AVENUE SECURITIES LLC
February 11, 1992 - November 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 5, 1983 - March 6, 1991
G. R. PHELPS & CO., INC.
August 24, 1971 - April 11, 1983
TRANSAMERICA FINANCIAL ADVISORS, 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: 8/19/1971
Registered Representative ExaminationCurrent Firm
CULLUM & BURKS SECURITIES, INC.
CRD#: 46600 / SEC#: , 8-51487
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
