Robert L. Clark

SEACREST WEALTH MANAGEMENT

Cumberland Foreside, ME

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CRD#: 47833

Professional summary

Robert Lee Clark is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Cumberland Foreside, Maine.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Robert has worked at 10 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Robert Lee Clark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 4, 2015 - Present

SEACREST WEALTH MANAGEMENT, LLC

RIA

CRD#: 147092

Cumberland Foreside, ME

Past

January 3, 2003 - October 16, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 22, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 1, 2000 - August 22, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 24, 1998 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

April 21, 1995 - September 10, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 11, 1992 - May 16, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 4, 1988 - June 1, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 19, 1978 - April 19, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

January 1, 1972 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(11/4/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/15/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/16/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/13/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577

Mailing Address

Phone number

(914) 502-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 1,561,182,425

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.

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Firm Stability Insights

Robert L. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lee Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

A. G. EDWARDS & SONS, INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

Primary Firm SEC Registration

SEACREST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/1990

SIE

Date: 10/16/2015

PC

Date: 8/15/1977

Series 1

Date: 12/16/1971

Series 8

Date: 9/13/1995

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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