Robert L. Clark

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CRD#: 47834

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 Lee Clark was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1970. Robert had worked at 9 firms and has passed the Series 66, SIE, Series 1, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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

July 16, 2015 - December 31, 2016

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

BOSTON, MA

Past

June 12, 2012 - May 28, 2015

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

January 22, 2007 - December 8, 2010

DETWILER FENTON & CO.

RIA

CRD#: 1794

BOSTON, MA

Past

January 22, 2007 - July 13, 2015

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

Past

June 8, 2005 - December 20, 2006

JESUP & LAMONT SECURITIES CORP

RIA

CRD#: 39056

BOSTON, MA

Past

June 8, 2005 - December 20, 2006

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

BOSTON, MA

Past

May 18, 2004 - June 3, 2005

FIRST DUNBAR SECURITIES CORPORATION

CRD#: 17901

EAST BERLIN, CT

Past

March 15, 2002 - May 18, 2004

WFS, LLC

CRD#: 116778

BOSTON, MA

Past

January 1, 2001 - June 6, 2007

WAINWRIGHT INVESTMENT COUNSEL LLC

RIA

CRD#: 108711

BOSTON, MA

Past

September 6, 1977 - June 25, 1988

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

September 6, 1977 - March 20, 2003

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

May 1, 1970 - February 5, 1999

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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 66

Date: 3/28/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/13/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/24/1981

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 4/21/1970

Registered Principal Examination

Current Firm

WOOD (ARTHUR W.) COMPANY, INC.

ARTHUR W. WOOD COMPANY | WOOD (ARTHUR W.) COMPANY, INC. | THE NEW ENGLAND COMPANY | ARTHUR WOOD INVESTMENT ADVISORS | ARTHUR W. WOOD COMPANY, INC.

CRD#: 3798 / SEC#: , 8-3368

Approved by SEC on 01/01/1936

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Contact information

Main Address

Mailing Address

Phone number

Established

Massachusetts since 09/01/1899

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MCCARTHY, DONALD PHILIP	DIRECTOR, PRESIDENT/CEO, CCO	858923

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Robert L. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DETWILER FENTON WEALTH MANAGEMENT INC

DETWILER FENTON & CO.

DETWILER FENTON & CO.

JESUP & LAMONT SECURITIES CORP

JESUP & LAMONT SECURITIES CORP

FIRST DUNBAR SECURITIES CORPORATION

WFS, LLC

WAINWRIGHT INVESTMENT COUNSEL LLC

ALEX. BROWN & SONS INCORPORATED

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2007

SIE

Date: 12/31/2016

Series 1

Date: 1/13/1967

Series 4

Date: 6/24/1981

Series 40

Date: 4/21/1970

Current Firm

WOOD (ARTHUR W.) COMPANY, INC.

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WOOD (ARTHUR W.) COMPANY, INC.

TRUST BUT VERIFY

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