Stuart C. Clark

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CRD#: 47890

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.

Stuart Clive Clark, who also goes by Clive Clark, was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1962. Stuart had worked at 11 firms and has passed the Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Clive Clark

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

September 12, 1997 - August 25, 1998

MARINER INVESTMENT GROUP

CRD#: 35993

HOUSTON, TX

Past

May 17, 1996 - September 23, 1996

MARINER INVESTMENT GROUP

CRD#: 35993

HOUSTON, TX

Past

May 8, 1989 - June 26, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

May 24, 1985 - October 8, 1987

MAY & O'CONNOR CAPITAL INC

CRD#: 13326

Past

April 23, 1984 - May 16, 1985

PORCARI, FEARNOW & ASSOCIATES, INC.

CRD#: 7668

Past

May 19, 1983 - April 23, 1984

MORRISON, SCHULTE & CO., INC.

CRD#: 7785

Past

August 19, 1982 - October 27, 1982

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 10, 1980 - June 29, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 17, 1977 - September 29, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 17, 1976 - December 7, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

November 8, 1974 - November 17, 1976

SHEARSON HAYDEN STONE INC.

CRD#: 6774

Past

June 19, 1973 - November 8, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

Past

December 17, 1962 - June 14, 1973

E. F. HUTTON & COMPANY INC

CRD#: 235

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

Series 63

Date: 5/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/13/1996

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/17/1961

Registered Representative Examination

Current Firm

MARINER INVESTMENT GROUP

MARINER FINANCIAL GROUP | MIG REGISTERED ADVORY INVESTMEN | MARINER INVESTMENT GROUP | MARINER FINANCIAL GROUP, INC.

CRD#: 35993 / SEC#: , 8-47067

Terminated by SEC on 09/21/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 01/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JOE F. & THERESE M. MOORE CHILDREN FAMILY TRUST	PART OWNER
DAVIS, STEVEN ROGER MR.	FINOP & OPTION PRINCIPAL	721252
ECFORD, WELDON JAMES	TRUSTEE	1276523
ECFORD, WELDON JAMES	PRESIDENT, CCO	1276523
MOORE, THERESE M	TRUSTEE	5864925

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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Firm Stability Insights

Stuart C. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER INVESTMENT GROUP

U.S. ADVISORS, INC.

MAY & O'CONNOR CAPITAL INC

PORCARI, FEARNOW & ASSOCIATES, INC.

MORRISON, SCHULTE & CO., INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

SHEARSON HAYDEN STONE INC.

SHEARSON HAYDEN STONE INC.

SHEARSON, HAMMILL & CO., INCORPORATED

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/17/1996

Series 7

Date: 5/13/1996

Series 1

Date: 3/17/1961

Current Firm

MARINER INVESTMENT GROUP

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MARINER INVESTMENT GROUP

TRUST BUT VERIFY

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