Warren P. 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.
Warren Patrick Clarke, who also goes by Pat Clarke, W. Patrick Clarke, was a registered financial advisor .
Warren is a previously registered financial advisor and started their career in finance in 1973. Warren had worked at 12 firms and has passed the Series 65, Series 63, 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
September 30, 2003 - December 18, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 17, 2001 - May 9, 2002
AMERIMUTUAL FUNDS DISTRIBUTOR, INC.
May 13, 1997 - November 4, 2003
ORBITEX FUNDS DISTRIBUTOR, INC.
March 13, 1995 - May 11, 1995
SECURITIES AMERICA, INC.
June 13, 1990 - December 18, 2012
ORION PORTFOLIO SOLUTIONS, LLC
November 19, 1989 - March 16, 1995
OSAIC WEALTH, INC.
September 6, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 4, 1981 - September 10, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 1980 - March 2, 1981
SECURITIES TRANSACTIONS, INCORPORATED
November 10, 1978 - May 24, 1980
SYMON GROUP, LTD.
December 22, 1975 - January 4, 1979
CORNERSTONE FINANCIAL SERVICES, INC.
September 7, 1973 - January 22, 1976
H.O. PEET & CO., 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: 7/26/1973
Registered Representative ExaminationCurrent Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
