Ward H. Clarke
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.
Ward Henry Clarke, who also goes by Corky Clarke, was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1968. Ward had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1993 - January 22, 1994
CAPITAL ACCESS, LTD.
February 5, 1991 - October 2, 1991
INVESTACORP, INC.
June 14, 1989 - December 7, 1990
FIRST AFFILIATED SECURITIES
June 17, 1986 - August 25, 1989
PFG SECURITIES, INC.
July 12, 1980 - June 18, 1986
EQUITEC SECURITIES COMPANY
May 16, 1973 - November 9, 1974
DEAN WITTER & CO. INCORPORATED
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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: 8/11/1967
Registered Representative ExaminationCurrent Firm
CAPITAL ACCESS, LTD.
CRD#: 24898 / SEC#: , 8-41411
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ACCESS, LLC | PARENT | |
| CHANEN, GORDON LOUIS | PRESIDENT, CFO, CCO | 1743005 |
Disclosures
| Regulatory Event | 2 |
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.
