Robert A. Clarke

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CRD#: 501953

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 Anthony Clarke, who also goes by Robert A Clarke, Robert Alan Clarke, Robert Allan Clarke, was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1977. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert A Clarke | Robert Alan Clarke | Robert Allan Clarke

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 26, 2006 - January 17, 2007

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

September 7, 2006 - January 17, 2007

LBMZ SECURITIES, INC.

CRD#: 7874

CHICAGO, IL

Past

February 24, 2006 - August 17, 2006

COSTA FINANCIAL SECURITIES, INC.

CRD#: 45039

HOLLYWOOD, FL

Past

June 11, 2003 - December 31, 2004

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

April 25, 2002 - May 6, 2003

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

June 30, 1995 - January 4, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 5, 1988 - November 2, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 22, 1982 - January 12, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

January 7, 1982 - February 1, 1982

JII SECURITIES INC.

CRD#: 406

Past

August 6, 1981 - December 10, 1981

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

February 24, 1978 - August 4, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 29, 1977 - February 24, 1978

REYNOLDS SECURITIES, INC.

CRD#: 712

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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.

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

IAR

Series 65

Date: 9/25/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/10/1995

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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 A. Clarke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LBMZ SECURITIES, INC.

COSTA FINANCIAL SECURITIES, INC.

SOURCE CAPITAL GROUP, INC.

AURA FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

JII SECURITIES INC.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

REYNOLDS SECURITIES, INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2006

Series 63

Date: 8/4/1995

Series 7

Date: 1/10/1995

Series 5

Date: 10/15/1981

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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